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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-07-06 |
| NY | RA | APPROVED | 2021-12-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | New York | NY | 07/2013 | 03/2017 |
| Jpmorgan Chase Bank Na | New York | NY | 06/2013 | 03/2017 |
| Hsbc Bank Usa National Association | New York | NY | 03/2017 | 12/2021 |
| Hsbc Securities Usa Inc. | New York | NY | 04/2017 | 12/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 12/2021 | Present |
| Bank Of America, N.A. | New York | NY | 12/2021 | Present |
I*2131289, Entity Type Charitable, Name of OBA: Norwich University Address: Northfield, Vermont, 05663 Investment Related: N Position, Title, Association: Member of the Advisory Board Employee Start Date: 02/03/2025 No Hours: 1 M No Hours during trading: 0 Duties:Norwich University Board of Fellows. Focused on Graduated school, advise school on how to attract higher quality students, encourage alumni network, help school retain students and speak with faculty to offer ideas and suggestions around school curriculum. No financial compensation is entailed. No fundraising is involved. No interaction with school finances.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-01-12 |
| S63 | Uniform Securities Agent State Law Examination | 2006-10-27 |
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