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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-05-12 |
Branch Locations
370 S Cleveland Ave, Westerville, OH 43081 • United States
8181 Communications Pkwy Street 2: -, Plano, TX 75024 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel, Nicolaus & Company, Inc. | Boston | MA | 01/2008 | 05/2017 |
| Boston Red Sox Baseball Club | Boston | MA | 03/2016 | 01/2026 |
| Archer Bay Capital | Boston | MA | 02/2018 | 01/2019 |
| Citizens Securities, Inc | Boston | MA | 04/2019 | 11/2020 |
| Equitable Advisors, Llc | New York | NY | 12/2020 | 01/2022 |
| Citizens Investment Services | Boston | MA | 04/2019 | 11/2020 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Newton | MA | 02/2022 | 10/2023 |
| Us Census Bureau | Watertown | MA | 08/2020 | 10/2020 |
| Bank Of America, N.A. | Newton | MA | 02/2022 | 10/2023 |
| Cuso Financial Services Lp/Harvard Federal Credit Union | San Diego | CA | 10/2023 | 03/2025 |
| J.P. Morgan Securities Llc | Plano | TX | 04/2025 | Present |
| Frisco Rough Riders | Frisco | TX | 04/2026 | Present |
Entity Name: Frisco Rough Riders Investment related: No Address: Frisco Rough Riders Riders Field 7300 Rough Riders TRL Frisco, TX 75034 Nature of the other business: Sports Position/Title/Relationship: Employee/Contractor Start Date: 04/07/2026 Approximate # of hours a week: 10-20 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Part time, seasonal role in the game day operations group. Work as an usher at Riders Field on weekends and most spring/summer evenings, after market hours
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-09-05 |
| S63 | Uniform Securities Agent State Law Examination | 1997-05-16 |
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