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2200 Atlantic Street Suite 200, Stamford, CT 06902 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-06-22 |
| TX | RA | APPROVED | 2023-06-22 |
Branch Locations
1700 Montgomery Streetsuite 108, San Francisco, CA 94111 • United States
2200 Atlantic Street Suite 200, Stamford, CT 06902 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Republic Securities Company, Llc | San Francisco | CA | 08/2008 | 04/2017 |
| First Republic Securities Company, Llc | San Francisco | CA | 04/2017 | 06/2023 |
| First Republic Investment Management, Inc. | San Francisco | CA | 04/2017 | 06/2023 |
| Newedge Securities Inc. | Pittsburgh | PA | 06/2023 | Present |
| Newedge Wealth | Stamford | CT | 06/2023 | Present |
1.Froley Family Fund*Voting member of the Trustees for the Froley Famly Fund. Overseeing the annual distribution of funds from a donor advised charitable fund; attending 3x/year family fund meetings to review charitable gifts made and the organizations supported.*No Invest*.1 Hrs/0 Trade*12/31/06*Pacific Palisades, CA 2. San Francisco Waldorf School*volunteer member of school investment committee under oversight of school cfo and board of directors. I suggest investment allocation and particpate in quarterly investment committee meetings to review.*Yes Invest*1 Per mnth/1 trade*6/21/23 3.Huckleberry Youth Programs*Yes Invest*Providing advice and oversight on the investment allocation and supervision of the entity's endowment portfolio and portfolio of cash reserves.*3Hrs per mnth/1 trdae*3/4/24* San Francisco, CA 4. MAKA Family Limited Partnership*I am managing member of a family limited partnership as successor trustee of my now deceased mother's irrevocable trust - Mary Ann Froley Revocable Trust, owner of MAKA Froley LLC, manager of the MAKA Family Limited Partnership. We manage one commercial real estate property plus one residential real estate property under the FLP with a FLP investment account at NewEdge Wealth and a FLP checking account.*Yes Invest*5 Hrs per mnth/ 5 Trade*12/10/23
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-01-09 |
| S63 | Uniform Securities Agent State Law Examination | 1994-10-12 |
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