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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2025-07-02 |
| TX | RA | APPROVED | 2025-06-27 |
Branch Locations
3 Park Plz, Floor 08, Irvine, CA 92614 • United States
228 W Chandler Heights Rd, Chandler, AZ 85248 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Beverly Hills | CA | 08/2013 | 07/2017 |
| Rbc Capital Markets, Llc | Phoenix | AZ | 07/2017 | 10/2017 |
| Rbc Capital Markets, Llc | Phoenix | AZ | 10/2017 | 01/2020 |
| City National Bank | Phoenix | AZ | 10/2017 | 01/2020 |
| Jpmorgan Chase Bank, N.A. | Chandler | AZ | 03/2020 | Present |
| J.P. Morgan Securities Llc | Chandler | AZ | 03/2020 | Present |
| Unemployed | Chandler | AZ | 02/2020 | 02/2020 |
Entity Name: Desert Botanical Garden Investment related: Yes "Address: 1201 N. Galvin Parkway Phoenix, AZ 85008 https://www.dbg.org/" Nature of the other business: Nonprofit Position/Title/Relationship: Board Member Start Date: 06/26/2025 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Desert Botanical Garden located in AZ and is committed to advancing excellence in education, research, exhibition and conservation of desert plants with an emphasis on the Sonoran Desert. I will serve on the Board of Trustees, chair the Planned Giving Committee, and be a member of the Finance Committee. These roles are dissimilar to my firm role and I will not provide financial services or expertise.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-03-31 |
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