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20 University Road 4Th Floor, Cambridge, MA 02138-5815 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2025-12-19 |
Branch Locations
20 University Road 4Th Floor, Cambridge, MA 02138-5815 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Republic Securities Company, Llc | New York | NY | 07/2016 | 09/2023 |
| First Republic Investment Management, Inc | New York | NY | 07/2016 | 06/2023 |
| J.P. Morgan Securities Llc | New York | NY | 09/2023 | 07/2024 |
| Jp Morgan Chase Bank, N.A. | New York | NY | 10/2023 | 07/2024 |
| Pennington Partners & Co., Llc | Bethesda | MD | 01/2025 | 11/2025 |
| Unemployed | Stamford | CT | 07/2024 | 12/2024 |
| Gc Wealth Management Ria, Llc | Cambridge | MA | 11/2025 | Present |
(1) Name: University of Rhode Island Foundation Investment Related: No. Charitable organization Address: 79 Upper college Road, Kingston, Rhode Island 02881 Position: Trustee Start Date of relationship: 7/1/2013 Responsibility of Duties: lend professional expertise to support the Foundation. Number of hours devoted each month: 2 hours annually Number of hours devoted during securities trading: 2 (2) Name: Investment Subcommittee for University of Rhode Island Foundation Investment Related: Yes Address:79 Upper College Road, Kingston RI 02881 Position: Member of the subcommittee Start Date of relationship: 7/1/2013 Responsibility of Duties: Number of hours devoted each month: 2 Number of hours devoted during securities trading: 2
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1997-11-19 |
| S65 | Uniform Investment Adviser Law Examination | 1992-11-24 |
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