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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2018-08-22 |
| TX | RA | APPROVED_RES | 2018-08-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Charles Schwab & Co., Inc. | Chapel Hill | NC | 06/2016 | 06/2018 |
| Charles Schwab Bank | Chapel Hill | NC | 06/2016 | 08/2018 |
| Jp Morgan Securities, Llc | Bloomington | IN | 08/2018 | Present |
| Jp Morgan Chase Bank, N.A. | Bloomington | IN | 08/2018 | Present |
| The Dugout | Bloomington | IN | 02/2025 | Present |
Entity Name: The Dugout Investment related: No Address: Private Residence Nature of the other business: Sports Position/Title/Relationship: Owner/Partner Start Date: 02/06/2025 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: This company will be devoted to private baseball training and lessons for local community athletes looking to take their training to the next level. As an ex-college baseball player I wanted a place where local kids can train and undertake private lessons; costs associated for training. This will take place outside of regular business hours and has nothing to do with the financial services in any capacity. I will operate as Owner of this facility where athletes can train.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-06-21 |
| S63 | Uniform Securities Agent State Law Examination | 2015-03-20 |
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