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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NM | RA | APPROVED | 2022-07-28 |
Branch Locations
8001 Wyoming Blvd Ne Bldg A, Albuquerque, NM 87113 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank Na | Albuquerque | NM | 04/2012 | 11/2021 |
| Wells Fargo Clearing Services, Llc | Albuquerque | NM | 07/2014 | 07/2021 |
| Jp Morgan Chase Bank, N.A. | Albuquerque | NM | 07/2022 | Present |
| Jp Morgan Securities, Llc | Albuquerque | NM | 07/2022 | Present |
| Unemployed | Albuquerque | NM | 11/2021 | 07/2022 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-09-29 |
| S63 | Uniform Securities Agent State Law Examination | 2014-09-11 |
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