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240 Greenwich Street 9Th Floor East, New York, NY 10286-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2019-10-24 |
Branch Locations
240 Greenwich Street, New York, NY 10286 • United States
200 Park Avenue, New York, NY 10166 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tiaa-Cref Individual & Institutional Services, Llc | New York | NY | 02/2018 | 09/2019 |
| Tiaa | New York | NY | 07/2013 | 09/2019 |
| Bny Mellon | New York | NY | 09/2019 | Present |
| Bny Mellon Securities Corporation | New York | NY | 09/2019 | Present |
(1) Vice Commander for Non-profit organization - American Legion Post #754, a veteran advocacy group. Working since March 2022, for 4 hours/month (not related to securities). Voted as Commander and member of finance Committee effective December 2022 for American Legion Post #754, a veteran advocacy group. (2) Employee of BNY Mellon discussing CMAA products under wealth management. (3) Trustee of Fordham University finance committee, responsible for budget and planning-non-investment related located at 441 E. Fordham RD, Bronx, NY 10458. The nature of the organization is higher education and will approximately devote 4 hours a month for 4-6 months. Start Date: August 1, 2020; no compensation. (4) President and Sole Director of TBC Securities, BNY Mellon Affiliate, located at One Boston Place, 201 Washington Street, Boston MA 02108, working since December 2022. (5) Trustee at Xavier High School (High school education) located at 30 W. 16th St. NY. Working for 4 hours per month since June 2024. 1 hour devoted to this outside business during securities trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-03-22 |
| S63 | Uniform Securities Agent State Law Examination | 2018-10-31 |
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