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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 |
|---|---|---|---|
| CT | RA | APPROVED | 2024-06-14 |
Branch Locations
450 Post Road E, Westport, CT 06880 • United States
83 Wooster Hts Ste 401 Lee Farm Corporate Park, Danbury, CT 06810 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jpmorgan Chase Bank, N.A. | New York | NY | 10/2010 | 04/2024 |
| J.P. Morgan Securities Llc | New York | NY | 10/2008 | 04/2024 |
| Wells Fargo Clearing Services, Llc | Westport | CT | 04/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-06-14 |
| S63 | Uniform Securities Agent State Law Examination | 1994-11-15 |
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