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333 S. Wabash Avenue 34Th Floor, Chicago, IL 60604 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2026-08-14 |
| AZ | RA | APPROVED | 2026-07-16 |
| NC | RA | APPROVED | 2026-07-16 |
| KY | RA | APPROVED | 2026-07-14 |
| MS | RA | APPROVED | 2026-07-14 |
| WV | RA | APPROVED | 2026-07-14 |
| IL | RA | APPROVED | 2026-07-13 |
| MN | RA | APPROVED | 2026-07-13 |
| NE | RA | APPROVED | 2026-07-13 |
| SD | RA | APPROVED | 2026-07-13 |
| PA | RA | APPROVED | 2026-07-10 |
| SC | RA | APPROVED | 2026-07-10 |
| ME | RA | APPROVED | 2026-07-09 |
| MI | RA | APPROVED | 2026-07-09 |
| ND | RA | APPROVED | 2026-07-09 |
| WY | RA | APPROVED | 2026-07-09 |
| VI | RA | APPROVED | 2026-07-09 |
| AL | RA | APPROVED | 2026-07-08 |
| AK | RA | APPROVED | 2026-07-08 |
| AR | RA | APPROVED | 2026-07-08 |
| CA | RA | APPROVED | 2026-07-08 |
| CO | RA | APPROVED | 2026-07-08 |
| CT | RA | APPROVED | 2026-07-08 |
| DE | RA | APPROVED | 2026-07-08 |
| FL | RA | APPROVED | 2026-07-08 |
| GA | RA | APPROVED | 2026-07-08 |
| HI | RA | APPROVED | 2026-07-08 |
| ID | RA | APPROVED | 2026-07-08 |
| IN | RA | APPROVED | 2026-07-08 |
| IA | RA | APPROVED | 2026-07-08 |
| KS | RA | APPROVED | 2026-07-08 |
| LA | RA | APPROVED | 2026-07-08 |
| MT | RA | APPROVED | 2026-07-08 |
| NV | RA | APPROVED | 2026-07-08 |
| NH | RA | APPROVED | 2026-07-08 |
| NJ | RA | APPROVED | 2026-07-08 |
| NM | RA | APPROVED | 2026-07-08 |
| OH | RA | APPROVED | 2026-07-08 |
| OK | RA | APPROVED | 2026-07-08 |
| OR | RA | APPROVED | 2026-07-08 |
| RI | RA | APPROVED | 2026-07-08 |
| TX | RA | APPROVED_RES | 2026-07-08 |
| UT | RA | APPROVED | 2026-07-08 |
| VT | RA | APPROVED | 2026-07-08 |
| VA | RA | APPROVED | 2026-07-08 |
| WA | RA | APPROVED | 2026-07-08 |
| WI | RA | APPROVED | 2026-07-08 |
| NY | RA | APPROVED | 2026-07-07 |
Branch Locations
301 Tresser Boulevard 14Th Floor, Stamford, CT 06901 • United States
390 Park Avenue Lever House, 2Nd Floor, New York, NY 10022 • United States
Haworth, NJ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Edelman Financial Services Llc | Fairfax | VA | 05/2015 | 01/2017 |
| Ef Legacy Securities, Llc | Henrico | VA | 04/2016 | 01/2017 |
| The Huntington Investment Company | Southfield | MI | 11/2017 | 03/2019 |
| Unemployed | Haworth | NJ | 01/2017 | 10/2017 |
| Citizens Securities, Inc. | Yonkers | NY | 02/2020 | 03/2023 |
| Unemployed | Haworth | NJ | 04/2019 | 02/2020 |
| Fidelity Investments | Nanuet | NY | 04/2023 | 06/2026 |
| Fidelity Investments | Boston | MA | 03/2025 | 06/2026 |
| Northern Trust Securities, Inc. | New York | NY | 06/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-03-16 |
| S63 | Uniform Securities Agent State Law Examination | 1990-03-05 |
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