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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2024-01-17 |
Branch Locations
10885 Ne 4Th Street Suite 200, Bellevue, WA 98004 • United States
277 Park Avenue 2Nd & 3Rd Floor, New York, NY 10172 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bellevue | WA | 11/1999 | 06/2020 |
| First Republic Investment Management, Inc | Bellevue | WA | 06/2020 | 09/2023 |
| First Republic Securities Company, Llc | Bellevue | WA | 06/2020 | 09/2023 |
| J.P. Morgan Securities Llc | Bellevue | WA | 09/2023 | Present |
| Jpmorgan Chase Bank, N.A. | Bellevue | WA | 10/2023 | Present |
Name of outside business organization: Held Personally: Investment related: Address of business: Seattle, Washington 98109 Nature of business: Rental Property Position, title, association: N/A Start date of relationship: 10/17/2016 Number of hours devoted: 1 hour(s) Number of hours devoted during trading hours: 0 Duties: N/A Name: Ultra High New Worth Address: Virtual team and organization Investment-related: No Nature of the business: Leveraging industry expertise our Advisory Board provides the Institute's governing Board of Directors with unbiased advice and insights strategic thinking and feedback on early-stage ideas. Role: Board of Directors Start Date: 10/01/2021 Description of duties: Advisory Board Member and Domain Chair of 'Leadership and Transition' Domain for UHNW Institute Number of hours each month: 1.5 Number of hours during trading: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-06-18 |
| S63 | Uniform Securities Agent State Law Examination | 2005-06-30 |
| S65 | Uniform Investment Adviser Law Examination | 1995-11-27 |
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