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730 Third Avenue, New York, NY 10017-3206 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-04-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Putnam Retail Management Limited Partnership | Andover | MA | 06/2014 | 05/2021 |
| Allspring Funds Distributor, Llc | Honeoye | NY | 06/2021 | 11/2023 |
| Putnam Investment Management, Llc | Andover | MA | 06/2015 | 05/2021 |
| Allspring Funds Management, Llc | Honeyoe | NY | 06/2021 | 11/2023 |
| Tiaa | Rochester | NY | 04/2025 | Present |
| Tiaa-Cref Individual & Institutional Services, Llc | Rochester | NY | 04/2025 | Present |
| Unemployed | Victor | NY | 11/2023 | 04/2025 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-06-18 |
| S63 | Uniform Securities Agent State Law Examination | 1995-11-02 |
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