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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2019-10-28 |
| TX | RA | APPROVED_RES | 2019-10-25 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Valley Glen | CA | 11/2012 | 05/2018 |
| Bank Of America, N.A. | Valley Village | CA | 11/2012 | 05/2018 |
| Cuso Financial Services, Lp | San Diego | CA | 06/2018 | 10/2019 |
| Jp Morgan Securities, Llc | Sherman Oaks | CA | 10/2019 | Present |
| Jp Morgan Chase Bank, N.A. | Sherman Oaks | CA | 10/2019 | Present |
Entity Name: Rio Hondo College Investment related: Yes "Address: 3600 Workman Mill Rd, Whittier, CA 90601 https://www.riohondo.edu/" Nature of the other business: Academic Committee Position/Title/Relationship: Board Member Start Date: 09/01/2022 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: The role is NOT an Independent Contractor/Employee of the college, but a Academic Committee Member of the Business School for Accounting & Finance Dept, and meeting once per academic year. Rio Hondo College is a public community college in North Whittier, California. There is no affiliation JPMC.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-06-19 |
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