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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-05-01 |
| WA | RA | APPROVED | 2024-04-29 |
Branch Locations
701 Pike Street Suite 2100, Seattle, WA 98101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimer & Co. Inc. | Seattle | WA | 12/2023 | Present |
| Bank Of America | Seattle | WA | 08/1983 | 12/2023 |
I am co-trustee with my spouse, Allison Davis, for two special needs trust, one each for our daughters, The Madison J Davis Trust and The Mackenzie A Davis Trust since 12/1/2014. This requires about four hours per month updating and maintaining financial records for the trusts. No time is devoted to the trusts or any other business during securities trading hours. BIX MEN PEDESTRIAN SAFETY FOUNDATION, A 501(C)(3) CHARITABLE ORGANIZATION. MY ROLE IS TREASURER THAT STARTED ON 6/1/2024. TIME REQUIRED IS ONE TO TWO HOURS PER WEEK AFTER WORK IN THE EVENINGS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-08-22 |
| S65 | Uniform Investment Adviser Law Examination | 2020-03-14 |
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