Regulatory Licenses and Approvals
As a registered financial professional, I hold regulatory licenses that allow me to operate in compliance with self-regulatory organizations (SROs) and state securities regulators across multiple jurisdictions. My licenses authorize me to provide investment advisory and brokerage services while adhering to industry regulations and fiduciary responsibilities.
Below is a summary of my regulatory approvals, including the self-regulatory organizations and U.S. states/territories where I am licensed.
Regulatory Approvals:
I am currently registered with the following 26 self-regulatory organizations (SROs):
- BOX Exchange LLC
- Cboe BYX Exchange, Inc.
- Cboe BZX Exchange, Inc.
- Cboe C2 Exchange, Inc.
- Cboe EDGA Exchange, Inc.
- Cboe EDGX Exchange, Inc.
- Cboe Exchange, Inc.
- FINRA - General Securities Representative
- FINRA - Investment Company and Variable Contracts
- Investors' Exchange LLC
- Long-Term Stock Exchange, Inc.
- MEMX LLC
- MIAX Emerald, LLC
- MIAX PEARL, LLC
- MIAX Sapphire
- Miami International Securities Exchange, LLC
- NYSE American LLC
- NYSE Arca, Inc.
- NYSE Chicago, Inc.
- NYSE National, Inc.
- Nasdaq BX, Inc.
- Nasdaq GEMX, LLC
- Nasdaq ISE, LLC
- Nasdaq MRX, LLC
- Nasdaq PHLX LLC
- Nasdaq Stock Market
- New York Stock Exchange
I am licensed as a financial agent and investment adviser representative in 34 U.S. states and territories:
- Arizona
- California
- Colorado
- Connecticut
- Delaware
- District of Columbia
- Florida
- Georgia
- Hawaii
- Illinois
- Kansas
- Louisiana
- Maryland
- Massachusetts
- Michigan
- Nebraska
- Nevada
- New Hampshire
- New Jersey
- New Mexico
- New York
- North Carolina
- Ohio
- Oklahoma
- Oregon
- Pennsylvania
- Puerto Rico
- South Carolina
- South Dakota
- Tennessee
- Texas
- Virgin Islands
- Virginia
- Washington