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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2017-12-14 |
| TX | RA | APPROVED | 2017-12-14 |
Branch Locations
130 N. 18Th Street One Logan Square, 17Th Floor, Philadelphia, PA 19103-6933 • United States
Philadelphia, PA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Philadelphia | PA | 03/2010 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Philadelphia | PA | 11/2016 | 12/2017 |
| Rbc Capital Markets, Llc. | Philadelphia | PA | 12/2017 | Present |
| City National Bank | Philadelphia | PA | 04/2018 | Present |
NAME OF ENTITY: Philadelphia Cricket Club ADDRESS: 415 W. Willow Grove Ave Philadelphia, PA 19118 NOT INVESTMENT RELATED: BUSINESS DESCRIPTION: Country Club CAPACITY: Committee/Council Member (not associated with the Board of Directors) START DATE: 06/15/2021 DUTIES: Admission Committee Member. I speak to prospective members and calling their sponsors to confirm if they would be a good fit for the club and if they are in good standing with the community HOURS DEVOTED PER MONTH: 01 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: None (2) NAME OF ENTITY: Springside Chestnut Hill Academy ADDRESS: 500 W. Willow Grove Ave., Philadelphia, PA 19118 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private School CAPACITY: Committee/Council Member (not associated with the Board of Directors) START DATE: 9/28/2021 DUTIES: Reviewing the current investment portfolio as well as future investments for the school. This is managed by a third party company called the Commonfund. We review the current holdings and do not manage the assets. HOURS DEVOTED PER MONTH: 0.5 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-09-18 |
| S63 | Uniform Securities Agent State Law Examination | 1998-09-14 |
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