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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2020-12-01 |
| TX | RA | APPROVED_RES | 2020-12-01 |
Branch Locations
1650 Market St Floor 47, Philadelphia, PA 19103 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pnc Bank | Camp Hill | PA | 05/2014 | 09/2019 |
| Pnc Investments Llc | Pittsburgh | PA | 05/2014 | 09/2019 |
| Jpmorgan Chase Bank, N.A. | Philadelphia | PA | 10/2019 | Present |
| J.P. Morgan Securities Llc | Philadelphia | PA | 10/2019 | Present |
Entity Name: SWiM AI, LLC Investment related: No Address: 220 Hazel Ct, Lebanon PA 17042 Nature of the other business: Technology Position/Title/Relationship: Owner/Partner Start Date: 06/15/2025 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: SWiM is a private company helping B2B companies leverage artificial intelligence to automate workflows, optimize marketing strategies, and create SaaS solutions. I will provide capital and strategic leadership advice to the company in exchange for minority equity ownership. There is no conflict with my current role and there is no connection to JPMorganChase. Any time devoted to the organization will be outside of regular business and market hours. Entity Name: Thomas H. Miller Investment related: No "Address: Mechanicsburg, PA 17050" Nature of the other business: Sports Simulator Position/Title/Relationship: Employee/Contractor Start Date: 09/01/2021 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: I played in a number of closest-to-the-pin competitions with cash buy-ins and cash payouts on my personal indoor golf simulator via an app called Pinseeker. I received a 1099 for my winnings. My CPA elected to file this as a Schedule C on my 2021 tax returns in order to be able to deduct expenses.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-04-17 |
| S63 | Uniform Securities Agent State Law Examination | 2007-01-16 |
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