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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2022-06-10 |
| TX | RA | APPROVED | 2022-06-10 |
Branch Locations
111 S Wacker Drive Suite 3200, Chicago, IL 60606 • United States
Chicago, IL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jpmorgan Chase Bank, N.A. | Chicago | IL | 10/2010 | 06/2022 |
| J.P. Morgan Securities Llc | Chicago | IL | 10/2008 | 06/2022 |
| Rbc Capital Markets, Llc | Chicago | IL | 06/2022 | Present |
| City National Bank | Chicago | IL | 08/2022 | Present |
(1) Entity Name: UCAN Investment related: Yes Address: 3605 Chicago, IL ucanchicago.org Nature of the other business: UCAN offers over 30 programs focused on healing trauma, building strong families, educating youth and preventing violence. Position/Title/Relationship: Advisory Board Member Start Date: 06-Mar-2014 Approximate # of hours a month: minimal Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Role of Board is to assist and enhance fund raising for the organization (2) Entity Name: UCAN Non-Investment related ADDRESS: 3605 W. Fillmore Chicago, IL. 60624 Nature of OBA: Help Kids With Trauma Position/Title/Relationship: Committee/Council Member (not associated with the Board of Directors); Resource Developement Board/Committee Start Date: 03/13/13 Time devoted: 2 hours every month; 0 during securities trading DUTIES: Raise funds for the non for profit (3) NAME OF ENTITY: UCAN ADDRESS: 3605 W. Fillmore Chicago IL 60624 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: Oct 02, 2017 CAPACITY: Board of Directors DUTIES: Help Raise fund for the Charity HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-10-01 |
| S63 | Uniform Securities Agent State Law Examination | 1987-07-10 |
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