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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-07-27 |
| CT | RA | APPROVED | 2021-03-25 |
| NJ | RA | APPROVED | 2017-05-18 |
Branch Locations
368 Main St, Ridgefield, CT 06877 • United States
68 S Service Rd Ste 200 [C1-Rbo], Melville, NY 11747 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | New York | NY | 10/2012 | 05/2017 |
| Wells Fargo Clearing Services, Llc | New York | NY | 05/2017 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-08-13 |
| S63 | Uniform Securities Agent State Law Examination | 1990-09-05 |
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