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1345 Avenue Of The Americas 27Th Floor, New York, NY 10105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-12-03 |
| NY | RA | APPROVED | 2024-09-09 |
Branch Locations
1345 Avenue Of The Americas 27Th Floor, New York, NY 10105 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jhfn Sii | Livingston | NJ | 05/2013 | 11/2018 |
| Royal Alliance Associates, Inc. | Nyack | NY | 11/2018 | 10/2021 |
| Ameriprise Financial Services Llc | Paramus | NJ | 10/2021 | 10/2023 |
| Osaic | Nyack | NY | 09/2023 | 07/2024 |
| Aegis Capital Corp | New York | NY | 09/2024 | Present |
1) ACC Agency Inc., 1305 Walt Whitman Rd, Ste 120 Melville, NY 11747; Investment Related; Insurance general agency; producer, agent; start date: 11-4-2025; 5-10 hours per month devoted to business; 5-10 hours per month during securities trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-06-18 |
| S63 | Uniform Securities Agent State Law Examination | 2006-05-16 |
| S65 | Uniform Investment Adviser Law Examination | 2001-03-19 |
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