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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-03-26 |
| TX | RA | APPROVED_RES | 2024-03-26 |
Branch Locations
2100 El Camino Real, Palo Alto, CA 94306 • United States
560 Mission Street, San Francisco, CA 94105 • 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Mateo | CA | 10/2009 | 07/2019 |
| Bank Of America,N.A. | San Mateo | CA | 06/2011 | 07/2019 |
| First Republic Securities Company, Llc | Palo Alto | CA | 07/2019 | 09/2023 |
| First Republic Investment Management, Inc. | Palo Alto | CA | 07/2019 | 09/2023 |
| J.P. Morgan Securities Llc | Palo Alto | CA | 09/2023 | Present |
| Jpmorgan Chase Bank, N.A. | Palo Alto | CA | 10/2023 | Present |
I*4657 For profit or not for profit: For-Profit Organization Name of outside business organization: Mark Beach Investment related: N Address of business: San Mateo, CA 94402 Nature of business: Rental Property Position, title, association: Owner Start date of relationship: 05/26/2017 Number of hours devoted: 10 Number of hours devoted during trading hours: 1 Duties: Owner
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-04-15 |
| S63 | Uniform Securities Agent State Law Examination | 1992-09-09 |
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