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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-05-18 |
| WA | RA | APPROVED | 2019-06-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lightpath Capital, Inc. | Los Angeles | CA | 01/2018 | 04/2019 |
| Snoqualmie Casino | Snoqualmie | WA | 10/2012 | 08/2018 |
| Berkshire Hathaway | Bellevue | WA | 01/2017 | 12/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bellevue | WA | 04/2019 | Present |
| Caribbean Cardroom | Kirkland | WA | 02/2019 | Present |
| Bank Of America, N.A. | Bellevue | WA | 06/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-06-24 |
| S63 | Uniform Securities Agent State Law Examination | 2018-05-21 |
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