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63 Forest Avenue, Locust Valley, NY 11560 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-30 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Garden City | NY | 05/2010 | 11/2019 |
| Ptp | Woodbury | NY | 11/2019 | Present |
| Spire Securities, Llc | Woodbury | NY | 11/2019 | Present |
IAR of Northeast Private Wealth Management, an unaffiliated RIA. Operational duties only. Investment related, full time during business hours. Start date Nov 2019. DBA: NEPWM - branding purposes for Spire related activities. OBA approved Insurance related activities - Life Insurance and Health Insurance - Since 2019. Property and Casualty insurance sales; 06/17/2024; agent; 1-2 hours/month.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-07-09 |
| S63 | Uniform Securities Agent State Law Examination | 2002-12-30 |
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