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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VA | RA | APPROVED | 2021-07-30 |
Branch Locations
1111 E Main St, Richmond, VA 23219 • United States
Glen Allen, VA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wellington Shields & Co., Llc | New York | NY | 11/2009 | 02/2017 |
| Morgan Stanley | Richmond | VA | 02/2017 | 07/2021 |
| Morgan Stanley Private Bank, National Association | New York | NY | 03/2017 | 07/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Richmond | VA | 07/2021 | Present |
| Bank Of America, N.A. | Richmond | VA | 08/2021 | Present |
I*2835298Entity Type: For ProfitName of OBA: Seasonal RootsAddress:glen allen VirginiaInvestment Related:NoPosition, Title, Association:EmployeeStart Date:10/01/2025No Hours: 3 WeeklyNo Hours during trading:0 WeeklyDuties:Business that my wife is startingoccasional deliveriesI*2835299Entity Type: For Profit, Publicly TradedName of OBA: DoorDashAddress:san Francisco CaliforniaInvestment Related:NoPosition, Title, Association:EmployeeStart Date:09/12/2025No Hours: 3 WeeklyNo Hours during trading:0 WeeklyDuties:delivery service for a food/meal service my wife is startingfood delivery outside of business hours I*3096265 Entity Type: Entity For Profit Name of OBA: Running Clean, LLC Address: Glen Allen, Virginia, 23059 Investment Related: No Position, Title, Association: Employee,Owner Employee Start Date: 11/15/2025 Number of Hours: 2, Weekly Number of Hours during trading: 0, Weekly Duties: My wife's company Occasional deliveries to customers outside of my normal business hours (evenings, weekends).
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-03-30 |
| S63 | Uniform Securities Agent State Law Examination | 2006-10-27 |
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