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400 Park Avenue 10Th Floor, New York, NY 10022 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-02-13 |
| NY | RA | APPROVED | 2021-04-05 |
| MO | RA | APPROVED | 2017-10-23 |
| ND | RA | APPROVED | 2015-09-21 |
| NE | RA | APPROVED | 2015-09-17 |
| SD | RA | APPROVED | 2015-09-17 |
| IA | RA | APPROVED | 2015-09-16 |
| MN | RA | APPROVED | 2015-09-16 |
| WI | RA | APPROVED | 2015-09-16 |
Branch Locations
400 Park Avenue 10Th Floor, New York, NY 10022 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| City National Rochdale | Orono | MN | 09/2015 | Present |
(1) I have an insurance license. I receive trailing income from in-force contracts in MN. It is annually reported on a Schedule C on my personal taxes. (2) Name of Entity: Rollins College Parent and Family Council; Non-investment related; Address: 1000 Holt Avenue Winter Park, FL 32789; Nature of OBA: Parents are asked to be liaisons for other parents and the college; Position/Title/Relationship: Committee Member; Start Date: 11/03/2023; Time devoted: 0.2 hours per month; 0 during securities trading hours; Duties: Go to twice year meetings and be an outreach and friendly peer at parent gatherings.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-08-25 |
| S63 | Uniform Securities Agent State Law Examination | 1994-01-20 |
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