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5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-09-01 |
| NJ | RA | APPROVED | 2018-04-27 |
Branch Locations
130 Maple Avenue Unit 7A, Red Bank, NJ 07701 • United States
5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735 • United States
Barnegat Light, NJ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Paramus | NJ | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Paramus | NJ | 11/2016 | 04/2018 |
| Kestra Financial Securities, Inc. | Red Bank | NJ | 04/2018 | Present |
| Kestra Private Wealth Services | Red Bank | NJ | 04/2018 | Present |
Business Name: LIBERTY WEALTH SOLUTIONS POSITION: Senior Vice President - Wealth Manager NATURE: Investment advisory services through an independent outside RIA INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 80 START DATE: 04/25/2018 ADDRESS: 130 Maple Ave, Suite 7A, Red Bank NJ 07701, United States DESCRIPTION: Provide Financial Advise to clients Business Name: DH 208 LLC Investment Related: No Address: 208 Red Hill Road Wurtsboro NY 12790 Nature of Business: Real Estate Position, Title or Relationship: Owner/Member of LLC Start Date: 1/1/2015 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Property Admin. Business Name: SNR 123, LLC POSITION: Member NATURE: passthrough INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 7 START DATE: 05/08/2018 ADDRESS: 130 Maple Ave, Suite 7A, Red Bank NJ 07701, United States DESCRIPTION: payroll and other administrative expenses Business Name: DH 208 LLC POSITION: Owner/Member of LLC NATURE: Real Estate INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2015 ADDRESS: 208 Red Hill Road, Wurtsboro NY 12790 DESCRIPTION: Property Admin. Business Name: LUCKY MAPLE 123 LLC POS: Member NOB: Real Estate INV REL: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2023 ADDRESS: 130 Maple Ave, Unit 7A, Red Bank NJ 07701 DESC: 50% owner with my brother in law and business partner at KPWS Steve Battel
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-07-13 |
| S63 | Uniform Securities Agent State Law Examination | 1993-07-01 |
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