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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-11-19 |
| TX | RA | APPROVED | 2025-11-19 |
Branch Locations
2029 Century Park E Floor 40, Los Angeles, CA 90067 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fifth Third Securities | Tell City | IN | 08/2016 | 06/2017 |
| Axa-Advisors, Llc | New York | NY | 08/2017 | 02/2018 |
| Wells Fargo Clearing Services, Llc | San Francisco | CA | 01/2021 | 06/2022 |
| Wells Fargo Bank Na | Los Angeles | CA | 01/2021 | 06/2022 |
| Fremont Bank | Danville | CA | 02/2018 | 06/2019 |
| Axa Advisors Llc | San Francisco | CA | 08/2017 | 02/2018 |
| Fifth Third Bank | Tell City | IN | 02/2015 | 06/2017 |
| Northwestern Mutual Investment Services Llc | Los Angeles | CA | 06/2022 | 01/2025 |
| Hbsc Bank Usa Na | San Francisco | CA | 07/2019 | 01/2021 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 08/2022 | 01/2025 |
| Hsbc Bank Usa, N.A. | Los Angeles | CA | 01/2025 | 11/2025 |
| Hsbc Securities (Usa) Inc | Los Angeles | CA | 01/2025 | 11/2025 |
| Jpmorgan Chase Bank, N.A. | Los Angeles | CA | 11/2025 | Present |
| J.P. Morgan Securities Llc | Los Angeles | CA | 11/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-08-18 |
| S63 | Uniform Securities Agent State Law Examination | 2017-01-03 |
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