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153 W Patrick Street, Frederick, MD 21701 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-03-20 |
| MD | RA | APPROVED | 2019-07-15 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Turning Point Benefit Group D/B/A Turning Point Financial | Frederick | MD | 10/2003 | Present |
| Cambridge Investment Research Inc. | Fairfield | IA | 01/2013 | 07/2019 |
| Cambridge Investment Research Advisors Inc. | Fairfield | IA | 01/2013 | 07/2019 |
| Purshe Kaplan Sterling Investments, Inc. | Albany | NY | 07/2019 | 01/2023 |
| Turning Point Financial | Frederick | MD | 07/2019 | Present |
| Mary Kathleen Troxell, Llc | Frederick | MD | 01/1994 | Present |
1) MARY KATHLEEN TROXELL, LLC; FREDERICK, MD; 01/1994; FIXED INSURANCE SALES, WHICH SOMETIMES ARE USED WITH CLIENTS OF THE BROKER/DEALER OR RIA. THIS INVOLVES PRIMARILY LIFE INSURANCE (TERM AND UL), LONG TERM CARE INSURANCE, AND FIXED ANNUITIES; 2HR/WK - 2/TRADING; INVESTMENT-RELATED.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-04-13 |
| S63 | Uniform Securities Agent State Law Examination | 2006-03-09 |
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