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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-07-22 |
| WA | RA | APPROVED | 2025-07-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Seattle | WA | 08/2012 | 06/2023 |
| Bank Of America, N.A. | Seattle | WA | 10/2012 | 06/2023 |
| U.S. Bank | Seattle | WA | 06/2023 | 05/2025 |
| U.S. Bancorp Investments Inc | Seattle | WA | 08/2023 | 09/2024 |
| J.P. Morgan Securities Llc | Seattle | WA | 06/2025 | Present |
| Jpmorgan Chase Bank, N.A. | Seattle | WA | 06/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-01-29 |
| S65 | Uniform Investment Adviser Law Examination | 2000-11-29 |
| S63 | Uniform Securities Agent State Law Examination | 1995-05-05 |
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