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830 Brickell Plaza Suite 4800, Miami, FL 33131 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-03-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Roosevelt Investments | New York | NY | 12/2009 | 10/2024 |
| Unified Financial Securities, Inc. | New York | NY | 04/2010 | 10/2017 |
| Corient | New York | NY | 02/2023 | Present |
| Corient Services Llc | Miami | FL | 07/2023 | Present |
| Cipw Service Company, Llc | Toronto | 01/2023 | 07/2023 |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2000-08-24 |
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