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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2024-05-07 |
| TX | RA | APPROVED | 2024-05-02 |
Branch Locations
150 W University Dr., Flr 04, Tempe , AZ 85281 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Vanguard/The Vanguard Group, Inc. | Scottsdale | AZ | 04/2017 | 08/2018 |
| Amazon | Phoenix | AZ | 04/2017 | 04/2017 |
| Queen Insurance Group, Llc | Chandler | AZ | 03/2004 | 12/2017 |
| Bancwest Investment Services, Inc. | Tempe | AZ | 08/2018 | 02/2021 |
| Bank Of The West | Tempe | AZ | 08/2018 | 02/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Phoenix | AZ | 11/2022 | 01/2024 |
| Wells Fargo | Chandler | AZ | 09/2022 | 11/2022 |
| Unemployed | Chandler | AZ | 03/2021 | 08/2022 |
| Bank Of America, N.A. | Phoenix | AZ | 11/2022 | 01/2024 |
| J.P. Morgan Securities Llc | Tempe | AZ | 04/2024 | Present |
| Jpmorgan Chase Bank, N.A. | Tempe | AZ | 04/2024 | Present |
| Vanguard Marketing Corporation | Scottsdale | AZ | 04/2017 | 08/2018 |
| Unemployed | Chandler | AZ | 02/2024 | 03/2024 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-10-11 |
| S63 | Uniform Securities Agent State Law Examination | 2017-06-01 |
| S66 | Uniform Combined State Law Examination | 2001-11-26 |
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