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395 Hudson Street Floor 10, New York, NY 10014 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-07-15 |
Branch Locations
395 Hudson Street Floor 10, New York, NY 10014 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mufg Union Bank, N.A. | New York | NY | 03/2015 | 04/2017 |
| Mufg Securities Americas Inc. | New York | NY | 10/2016 | 04/2017 |
| Eshares Securities, Llc | San Francisco | CA | 07/2017 | 06/2018 |
| Eshares Inc | Palo Alto | CA | 07/2017 | 06/2018 |
| Moment Markets Llc | New York | NY | 11/2023 | Present |
| Carta Securities, Llc | San Francisco | CA | 08/2017 | 06/2018 |
| Wealthfront Brokerage Llc | Palo Alto | CA | 06/2018 | 01/2023 |
| Passthrough, Inc. | New York | NY | 01/2023 | 10/2023 |
| Moment Advisors Llc | New York | NY | 05/2025 | Present |
1. The name of the other business - Passthrough, Inc. 2. Investment-related - No 3. The address of the other business - New York, NY 4. The nature of the other business - Technology Solutions Platform 5. Your position - Advisor 6. Title, or relationship with the other business - Advisor 7. The start date of your relationship - 11/15/2023 8. The approximate number of hours/month you devote to the other business - 1 hour per month 9. The number of hours you devote to the other business during securities trading hours - 0 hours 10. Briefly describe your duties relating to the other business - Advising on corporate matters 1. The name of the other business - Moment Advisors, LLC 2. Investment-related - Yes 3. The address of the other business - 101 Greenwich Street, 8th Floor, New York, NY 10006 4. The nature of the other business - RIA 5. Your position - CCO and General Counsel 6. Title, or relationship with the other business - CCO and General Counsel 7. The start date of your relationship - 05/2025 8. The approximate number of hours/month you devote to the other business - 10 hours per week 9. The number of hours you devote to the other business during securities trading hours - 0 hours 10. Briefly describe your duties relating to the other business - Advising on compliance and regulatory matters 1. The name of the other business - Moment Technology Inc. 2. Investment-related - No 3. The address of the other business - 101 Greenwich Street, 8th Floor, New York, NY 10006 4. The nature of the other business - Technology Service Provider 5. Your position - CCO and Chief Legal Officer 6. Title, or relationship with the other business - CCO and Chief Legal Officer 7. The start date of your relationship - 11/2023 8. The approximate number of hours/month you devote to the other business - 30 hours per week 9. The number of hours you devote to the other business during securities trading hours - 5 hours weekly 10. Briefly describe your duties relating to the other business - Advising on compliance and regulatory matters
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-06-05 |
| S63 | Uniform Securities Agent State Law Examination | 1994-08-04 |
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