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610 Market Street, Philadelphia, PA 19106 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-01-09 |
| PA | RA | APPROVED | 2026-01-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Highland Capital Funds Distributor, Inc. | Dallas | TX | 09/2014 | 07/2018 |
| Fef Distributors, Llc | New York | NY | 01/2020 | 01/2024 |
| First Eagle Investment Management, Llc | New York | NY | 01/2020 | 01/2024 |
| Lord Abbett | Jersey City | NJ | 07/2018 | 01/2020 |
| J.P. Morgan Securities Llc | Los Angeles | CA | 01/2024 | 12/2025 |
| Jpmorgan Chase Bank, N.A. | Los Angeles | CA | 01/2024 | 12/2025 |
| Delaware Distributors, L.P. | Philadelphia | PA | 12/2025 | Present |
| Nomura Capital Management Llc | San Francisco | CA | 06/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-01-30 |
| S63 | Uniform Securities Agent State Law Examination | 2014-07-15 |
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