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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| LA | RA | APPROVED | 2016-04-11 |
| TX | RA | APPROVED | 2005-10-24 |
Branch Locations
711 Louisiana Street 15Th Floor, Houston, TX 77002 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fahnestock & Co. Inc. | Houston | TX | 01/2003 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-10-21 |
| S63 | Uniform Securities Agent State Law Examination | 1981-02-02 |
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