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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2018-06-06 |
| TX | RA | APPROVED | 2018-06-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Charles Schwab & Co., Inc. | Indianapolis | IN | 05/2013 | 05/2018 |
| Schwab Private Client Investment Advisory, Inc. | Indianapolis | IN | 09/2015 | 02/2017 |
| Charles Schwab Bank | Indianapolis | IN | 03/2017 | 05/2018 |
| Jp Morgan Chase Bank, N.A. | Nobelsville | IN | 05/2018 | Present |
| Jp Morgan Securities, Llc | Nobelsville | IN | 05/2018 | Present |
Entity Name: Lafferty Automotive Investment related: No Address: 3988 US-27, West College Corner, IN 47003 Nature of the other business: Auto Repair Position/ Title/ Relationship: Employee/Contractor Start Date: Dec 01, 2021 Approximate # of hours a month: 0 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: I am a signer on my father business checking account at an outside bank. I don't have any involvement in his business.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-06-03 |
| S63 | Uniform Securities Agent State Law Examination | 2013-09-18 |
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