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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2022-11-15 |
Branch Locations
200 Park Avenue Suite 150, Florham Park, NJ 07932 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Short Hills | NJ | 11/2011 | 04/2017 |
| Rbc Capital Markets, Llc | Florham Park | NJ | 04/2017 | 11/2022 |
| Oppenheimer & Co. Inc. | Florham Park | NJ | 11/2022 | Present |
(1) SIRIUS XM; BUSINESS DESCRIPTION: SATELLITE RADIO; CAPACITY: EMPLOYEE; DUTIES: ON AIR RADIO HOST; NOT INVESTMENT RELATED; (2) TURNER BROADCASTING; ON AIR NBA ANALYST; NOT INVESTMENT RELATED
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-01-06 |
| S63 | Uniform Securities Agent State Law Examination | 1994-12-20 |
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