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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-10-03 |
| GA | RA | APPROVED | 2023-09-05 |
Branch Locations
3 Edison Drive, Alpharetta, GA 30005 • United States
Cumming, GA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| E*Trade Securities Llc | Alpharetta | GA | 05/2015 | 06/2018 |
| E*Trade Securities Llc | Alpharetta | GA | 06/2018 | 03/2021 |
| E*Trade Capital Management, Llc | Alpharetta | GA | 12/2018 | 03/2021 |
| E*Trade Securities Llc | Alpharetta | GA | 03/2021 | Present |
| E*Trade Capital Management, Llc | Alpharetta | GA | 03/2021 | Present |
| Morgan Stanley | Alpharetta | GA | 03/2023 | Present |
| Morgan Stanley | Alpharetta | GA | 09/2023 | Present |
| Morgan Stanley | Alpharetta | GA | 09/2023 | Present |
1. Name: Hyde Park HOA; 2. Investment-related: No; 3. Address: 4990 Hyde Way, Cumming, Georgia 30040; 4. Nature: collecting dues from residents and paying bills on behalf of the HOA; 5. Position: Treasurer; 6. Start Date: 11/19/2018; 7. Approx. number of hrs/mth devoted to the other business: 1; 8. Number of hrs devoted during securities trading hrs: 0; Duties: I will be an authorized user on the HOA's checking account at Wells Fargo used to pay bills for the HOA, such as: power, water, pest control, pool maintenance, and landscaping. I will also assist the President in collecting dues from the homeowners. *695975- Proof Positive Gutter Cleaning, LLC; Investment related: Yes; Cumming, Georgia; Other; Partner (proprietor, partner, officer, director, employee, trustee, agent); 06/2026; During business hours: 0; After business hours: 24; Administrative:Accounting/Bookkeeping:Business Development/Growth:Check Signing/Funds Disbursements:Customer Service:Labor/Service:Sales/Marketing
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-03-24 |
| S63 | Uniform Securities Agent State Law Examination | 2014-07-28 |
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