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35 W 35Th Street Fifth Floor, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-03-12 |
Branch Locations
35 W 35Th Street Fifth Floor, New York, NY 10001 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | New York | NY | 06/2015 | 04/2018 |
| Ubs Securities Llc | New York | NY | 04/2018 | 08/2018 |
| Exos Securities Llc | New York | NY | 04/2019 | Present |
| Unemployed | Darien | CT | 09/2018 | 03/2019 |
Head of Trading, Exos Asset Management, invest related, asset management business, NY, 80 hrs/mo- 40-80 during trading hours. Private Equity, Feenix Opportunity Fund III, invest related, NY, 2021, vehicles that invest in businesses in exchange for credit card processing rights, 4 hrs/mo - 2 during trading hrs.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-03-09 |
| S63 | Uniform Securities Agent State Law Examination | 2004-04-30 |
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