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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2018-01-04 |
| IL | RA | APPROVED | 2017-07-13 |
Branch Locations
500 West Madison Suite 3800, Chicago, IL 60661 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimer & Co. Inc. | Chicago | IL | 02/2017 | Present |
| Apple Inc. | Cupertino | CA | 10/2014 | 02/2017 |
1.I AM CO-TRUSTEE ON MY WIFE'S TRUST TITLED "SIN HYE CINDY PELOQUIN TRUST DATED 12.3.20". THIS IS NOT INVESTMENT RELATED AND THE ADDRESS IS THE SAME AS MY HOME ADDRESS. THE TRUST WAS CREATED FOR ESTATE PLANNING PURPOSES. I RECEIVE NO COMPENSATION AND DO NOT DEVOTE ANY TIME TO THIS ROLE. IN THE FUTURRE, I MAY ACT IN MY CAPACITY AS CO-TRUSTEE TO FACILITATE OUR ESTATE PLANNING. THE ONLY ASSEST CURRENTLY IN THE TRUST IS ONE HALF OF OUR RESIDENCE. THERE ARE NO PLANS TO ADD ADDITIONAL ASSETS AT THIS TIME. 2.I AM TRUSTEE OF THE MICHAEL J. PELOQUIN TRUST DTD 12-3-2020
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-07-13 |
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