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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2024-09-30 |
| TX | RA | APPROVED | 2024-09-30 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| M1 Finance | Chicago | IL | 11/2021 | 07/2023 |
| Link Market Services | Auckland | 07/2018 | 11/2021 | |
| Client Satisfaction* Canadian | Toronto | 06/2017 | 06/2018 | |
| Link Market Services | Auckland | 08/2016 | 06/2017 | |
| Bank Of America N.A./Merrill Lynch | Chicago | IL | 07/2023 | 09/2024 |
| J.P. Morgan Securities Llc | Bloomingdale | IL | 09/2024 | Present |
| Jpmorgan Chase Bank, N.A. | Bloomingdale | IL | 09/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-04-30 |
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