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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2025-09-29 |
| TX | RA | APPROVED_RES | 2023-03-20 |
| FL | RA | APPROVED | 2023-03-16 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fifth Third Bank | Harrisburg | NC | 11/2015 | 01/2018 |
| Guardian Life Insurance Company | Charlotte | NC | 05/2018 | 08/2018 |
| Park Avenue Securities Llc | Charlotte | NC | 11/2017 | 08/2018 |
| Western & Southern Financial Group | Concord | NC | 09/2018 | 03/2021 |
| Western & Southern Life | Concord | NC | 09/2018 | 03/2021 |
| Consolidated Planning | Charlotte | NC | 05/2018 | 08/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | The Villages | FL | 04/2021 | 03/2023 |
| Bank Of America, N.A. | The Villages | FL | 04/2021 | 03/2023 |
| J.P. Morgan Securities Llc | The Villages | FL | 03/2023 | Present |
| Jpmorgan Chase Bank, N.A. | The Villages | FL | 03/2023 | Present |
| Shc Holdings Llc | South Boston | VA | 10/2021 | 12/2021 |
| W&S Brokerage Services, Inc | Cincinnati | OH | 04/2019 | 03/2021 |
| Red Ventures Llc | Charlotte | NC | 05/2017 | 09/2017 |
Entity Name: The Card Compound Investment related: No Address: Private Residence Nature of the other business: E-Commerce Position/Title/Relationship: Owner/Partner Start Date: 08/06/2026 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: The business is for online sales of trading cards (sports, Pokemon, etc.). I have a data base of cards that I own and customers choose from the data base. I'll then ship the card to them. This role is in no way similar to my current role, there is no connection to JPM Chase and will take up 2 hours a week at most (outside of normal office hours).
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-06-22 |
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