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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-08-07 |
| NY | RA | APPROVED | 2023-08-04 |
Branch Locations
767 5Th Ave 33Rd Fl [Y2-Rbo], New York, NY 10153 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Deutsche Bank Securities Inc. | New York | NY | 01/2001 | 09/2016 |
| Raymond James & Associates, Inc. | New York | NY | 09/2016 | 07/2023 |
| Wells Fargo Clearing Services, Llc | New York | NY | 07/2023 | Present |
FARRAGUT GARDENS CONDOMINIUM CORPORATION HOA, NOT INVT RELATED, BROOKLYN, NY, PRESIDENT, START DATE 1/1/2023, 10 HRS PER MONHT, 0 HRS DURING TRADING, ATTENDING MEETINGS TO DISCUSS MANAGEMENT OF THE COMMON AREAS OF THE BUILDINGS OF THE CONDOMINIUM.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-12-11 |
| S63 | Uniform Securities Agent State Law Examination | 1992-12-04 |
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