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40 West 57Th Street 19Th Floor, New York, NY 10019 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-04-22 |
Branch Locations
40 West 57Th Street 19Th Floor, New York, NY 10019 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Poplar Forest Capital Llc | Pasadena | CA | 10/2007 | 07/2025 |
| Tocqueville Asset Management Lp | New York | NY | 04/2025 | Present |
Pigasus Vineyard LLC, non-investment related; nature of business: vineyard in the business of selling grapes; position: proprietor; start date: December 2016; time spent: approximately 10 hours/month, no hours spent on this other business during securities trading hours.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1986-06-09 |
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