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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-05-03 |
| IL | RA | APPROVED | 2020-09-01 |
Branch Locations
10 S. Dearborn Street Floor 11, Chicago, IL 60603 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Optionsxpress, Inc. | Chicago | IL | 03/2004 | 10/2017 |
| Charles Schwab & Co., Inc. | Chicago | IL | 08/2017 | 06/2018 |
| Tradestation Securities, Inc. | Chicago | IL | 06/2018 | 06/2019 |
| Jpmorgan Chase Bank Na | Chicago | IL | 07/2019 | Present |
| Jpmorgan Securities Llc | Chicago | IL | 07/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-08-11 |
| S63 | Uniform Securities Agent State Law Examination | 2018-05-30 |
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