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240 Greenwich Street 9Th Floor East, New York, NY 10286-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-02-19 |
Branch Locations
144 Glenn Curtiss Boulevard, Uniondale, NY 11556 • United States
600 Colonial Center Parkway 4Th Floor, Lake Mary, FL 32746 • United States
Sanford, FL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northern Trust Bank | Chicago | IL | 10/2011 | 02/2024 |
| Northern Trust Securities Inc | Chicago | IL | 10/2011 | 02/2024 |
| Bny Mellon Securities Corporation | Lake Mary | FL | 02/2024 | Present |
| Pershing Llc | Lake Mary | FL | 07/2024 | Present |
[1] Compliance Officer of BNY Advisor, marketing compliance reviewing marketing material, located at 600 Colonial Center Parkway, Lake Mary, FL 32746. Working for 5 hours per month since June 2025, 5 hours per month devoted to business during securities trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-03-30 |
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