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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-03-07 |
| CA | RA | APPROVED | 2020-07-20 |
Branch Locations
9245 Wilshire Blvd., Beverly Hills, CA 90210 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Msi Financial Services, Inc./ Metlife | Los Angeles | CA | 03/2014 | 03/2017 |
| Massachusetts Mutual Life Insurance Company | Los Angeles | CA | 07/2016 | 07/2020 |
| Mml Investors Services, Llc | Los Angeles | CA | 03/2017 | 07/2020 |
| J.P. Morgan Securities Llc | Beverly Hills | CA | 07/2020 | Present |
| Jpmorgan Chase Bank, N.A. | Beverly Hills | CA | 07/2020 | Present |
| Penguin's Frozen Yogurt | Los Angeles | CA | 04/2022 | Present |
Entity Name: Penguin's Frozen Yogurt Investment related: No "Address: 2180 Westwood Blvd Unit 1 A Los Angeles, CA 90025 Website: www.penguinsfroyo.com" Nature of the other business: Food Industry Position/Title/Relationship: Owner/Partner Start Date: 04/01/2022 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: It is serving frozen yogurt, as well as other frozen desserts. As an Owner, I will manage business perform accounting tasks. My brother is a manager who will handle all of the operating tasks on site. I will only work during the weekend. My responsibilities are not similar & No connection to my JPMC role.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-09-18 |
| S63 | Uniform Securities Agent State Law Examination | 2009-08-14 |
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