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730 Third Avenue, New York, NY 10017-3206 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2022-02-08 |
Branch Locations
328 Innovation Boulevard Suite 301, State College, PA 16803 • United States
Lock Haven, PA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pnc Investments Llc | Pittsburgh | PA | 03/2016 | 02/2017 |
| Santander Bank, Na | Boston | MA | 02/2017 | 09/2019 |
| Santander Securities, Llc | Dorchester | MA | 02/2017 | 09/2019 |
| Infinex Investments, Inc. | Meriden | CT | 09/2019 | 01/2022 |
| First Commonwealth | Jersey Shore | PA | 09/2019 | 01/2022 |
| Tiaa | State College | PA | 01/2022 | Present |
| Tiaa-Cref Individual & Institutional Services, Llc | State College | PA | 01/2022 | Present |
RENTAL PROPERTY POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/10/2010 ADDRESS: 704 E Church Street, Lock Haven PA 17745, United States DESCRIPTION: No responsibility. Spouse handles all upkeep.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-08-18 |
| S63 | Uniform Securities Agent State Law Examination | 1995-06-07 |
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