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730 Third Avenue, New York, NY 10017-3206 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2022-03-25 |
Branch Locations
1700 Market Street 32Nd Floor/Suite 3222, Philadelphia, PA 19103 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Malvern | PA | 06/2019 | 05/2020 |
| Citizens Bank | Havertown | PA | 06/2016 | 07/2019 |
| Jpmorgan Chase Bank, N.A. | Upper Darby | PA | 04/2020 | 03/2021 |
| J.P. Morgan Securities Llc | Upper Darby | PA | 04/2020 | 03/2021 |
| Vanguard Marketing Corporation | Malvern | PA | 06/2019 | 05/2020 |
| Tiaa | Philadelphia | PA | 11/2021 | Present |
| Tiaa-Cref Individual & Institutional Services, Llc | Philadelphia | PA | 11/2021 | Present |
| Upemployed | Upper Darby | PA | 03/2021 | 11/2021 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-03-25 |
| S63 | Uniform Securities Agent State Law Examination | 2019-08-02 |
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