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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-06-06 |
| TX | RA | APPROVED | 2025-06-06 |
Branch Locations
One Penn Plaza 43Rd Floor, New York, NY 10119 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | New York | NY | 09/2017 | 05/2019 |
| J.P. Morgan Chase Bank, N.A. | New York | NY | 09/2017 | 05/2019 |
| Goldman Sachs | Hong Kong | 03/2015 | 09/2017 | |
| Bny Mellon | New York | NY | 10/2019 | 05/2025 |
| Bny Mellon Securities Corporation | New York | NY | 04/2021 | 05/2025 |
| Unemployed | New York | NY | 05/2019 | 10/2019 |
| Morgan Stanley Smith Barney Llc | New York | NY | 05/2025 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 06/2025 | Present |
*643591 - Author of "The Elephant and the Dragon"; Investment related-No; New York; Publishing; Book Author (proprietor, partner, officer, director, employee, trustee, agent); 07/2007; During business hours: 0; After business hours: 0; I wrote a book published in 2007. I no longer have any duties related to it, but it generates royalties. *643594 - Rental Property; Investment related-Yes; New York, New York; Rental Property; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 01/2019; During business hours: 0; After business hours: 0.5; Property Management. [3] The Lotos Club / Membership committee co-chair / New York, NY / Private Social Club / Volunteer role / since 2017 / 1 hour devoted per month / 0 during trading/ I'm co-chair of the Membership committee of the Lotos Club, helping the Club attract and retain members.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-06-04 |
| S63 | Uniform Securities Agent State Law Examination | 2017-12-19 |
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