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53 State Street 28Th Floor, Boston, MA 02109 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-08-28 |
Branch Locations
11 W 42Nd St. Floor 13, New York, NY 10036 • United States
8540 Colonnade Center Drive, Raleigh, NC 27615-3052 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-08-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Republic Bank | New York | NY | 06/2015 | 06/2023 |
| First Republic Securities Company, Llc | New York | NY | 09/2016 | 06/2023 |
| First Citizens Investor Services | Raleigh | NC | 07/2024 | Present |
| Flagstar Bank N.A. | New York | NY | 07/2023 | 06/2024 |
| First Citizens Wealth | New York | NY | 06/2024 | Present |
| Svb Wealth | New York | NY | 08/2024 | Present |
SVB Wealth, Began 8/19/2024; 11 W 42nd St. New York, NY 10036; SVB Wealth is an affiliated IA Firm. Duties are meeting with existing and prospective clients to discuss our full range of investment capabilities; 160 hours/month.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-08-11 |
| S63 | Uniform Securities Agent State Law Examination | 2017-02-04 |
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