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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-11-17 |
| DC | RA | APPROVED | 2021-12-02 |
| VA | RA | APPROVED | 2021-11-02 |
Branch Locations
875 15Th St Nw Floor 10, Washington, DC 20005 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bank Of America/Merrill Lynch, Pierce, Fenner & Smith Inc. | Richmond | VA | 07/2015 | 07/2019 |
| Thompson, Siegel & Walmsley Llc | Richmond | VA | 07/2019 | 09/2021 |
| Funds Distributor, Llc | Richmond | VA | 07/2019 | 09/2021 |
| Jpmorgan Chase Bank, N.A. | Washington | DC | 10/2021 | Present |
| J.P. Morgan Securities Llc | Washington | DC | 10/2021 | Present |
2) The Richmond Ballet Advisory Council, Not Investment Related, The State Ballet of Virginia, 407 E Canal Street Richmond, VA 23219, Advisory Council Secretary, 1/1/2019, "Attend Advisory Council meetings to discuss happenings at the ballet. As secretary, I take notes at the meetings."; 1 hours per month,0 hours per month during trading hour. 3) Community Foundation for a Greater Richmond Professional Advisory Council, Richmond, VA, Non-Investment Related-Philanthropic, Start Date 09/01/2020, Advisory Council, Building charitable resources for the Richmond region, 1 hour per month with 0 during securities trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-02-05 |
| S63 | Uniform Securities Agent State Law Examination | 2011-12-17 |
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