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330 Madison Avenue 10Th Floor, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2025-02-07 |
| IL | RA | APPROVED | 2020-09-04 |
Branch Locations
330 Madison Avenue 10Th Floor, New York, NY 10017 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| New York Life Investament Management Llc | Parsippany | NJ | 07/2005 | 08/2020 |
| Guggenheim Funds Distributors, Llc | Chicago | IL | 08/2020 | Present |
HOLY CROSS ACADEMY | | CATHOLIC GRAMMER SCHOOL | | LOCATION: 40 RUMSON RD, RUMSON NJ | | BOARD MEMBER | | STARTED: 4/15/2025 | | DEVOTE: 1 HRS/MTH WITH 1 DURING TRADING HOURS | | NOT INVESTMENT RELATED | |+| | EMPOWER WOMEN THAT ROCK | | PRIVATE CHARITY WORKING TO EMPOWER WOMEN | | LOCATION: 780 3RD AVENUE, 19TH FLOOR, NEW YORK, NY | | BOARD MEMBER | | STARTED: 7/10/2025 | | DEVOTE: 2 HRS/MTH WITH 0 DURING TRADING HOURS | | NOT INVESTMENT RELATED | |+| |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-02-22 |
| S63 | Uniform Securities Agent State Law Examination | 1996-12-09 |
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