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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2022-10-21 |
| VI | RA | APPROVED | 2022-09-27 |
| PA | RA | APPROVED | 2022-09-21 |
| TX | RA | APPROVED_RES | 2022-09-21 |
Branch Locations
1211 Avenue Of The Americas Suite 3300, New York, NY 10036 • United States
Six Tower Bridge, 181 Washington Street Suite 500, Conshohocken, PA 19428-2000 • United States
Bryn Mawr, PA • 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 |
|---|---|---|---|---|
| Jpmorgan Chase Bank, N.A. | New York | NY | 10/2010 | 09/2022 |
| J.P. Morgan Securities Llc | New York | NY | 10/2008 | 09/2022 |
| Little Hollow Farm | Genoa | NY | 07/2014 | 09/2022 |
| Rbc Capital Markets, Llc | New York City | NY | 09/2022 | Present |
| City National Bank | New York | NY | 11/2022 | Present |
Entity Name: Philadelphia Society for Promoting Agriculture Investment related: No "Address: c/o President Scott Sheely 140 Waypoint Drive Lancaster, PA 19425 " Nature of the other business: Agricultural Position/Title/Relationship: Employee/Contractor Start Date: 06/01/2022 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 "Briefly describe your duties: non profit promoting agricultural interests in the greater Philadelphia area I would be a substitute/Assistant Treasurer NOT A MEMBER OF THE BOARD OF DIRECTORS: I AM ONLY A MEMBER OF THIS NON PROFIT ENTITY, NOT a Board Member. " Entity Name: Hearing Health Foundation Investment related: Yes Address: 363 New York, NY Nature of the other business: Private funder of hearing research, to prevent and cure hearing loss Position/Title/Relationship: Director Start Date: 06-Nov-2014 Approximate # of hours a month: 4 Approximate # of hours during securities trading hours: 1 Briefly describe your duties: Board Member Entity Name: Little Hollow Farm Investment related: No Address: 1161 Genoa, NY Nature of the other business: farming and forestry Position/Title/Relationship: Sole Proprietor Start Date: 07-Jul-2014 Approximate # of hours a month: 4 Approximate # of hours during securities trading hours: 1 Briefly describe your duties: 1) owner 2) manager 4) NAME OF ENTITY: Little Hollow Farm and SPV Holdings ADDRESS: 1161 Bruton Road Genoa, NY 13071 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Agricultural operations CAPACITY: Owner - Active START DATE: 09.01.88 DUTIES: Managing the properties and leasing to local farmers PER MONTH: 2; SECURITIES HOURS: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-10-15 |
| S63 | Uniform Securities Agent State Law Examination | 1983-04-11 |
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