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125 Froehlich Farm Blvd., Woodbury, NY 11797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-01-02 |
| CA | RA | APPROVED | 2017-07-27 |
Branch Locations
125 Froehlich Farm Blvd., Woodbury, NY 11797 • United States
400 Estudillo Ave Ste 208, San Leandro, CA 94577 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Financial West Group | Westlake Village | CA | 04/2003 | 07/2017 |
| Empowered Investments | San Leandro | CA | 01/2016 | Present |
| Vanderbilt Securities, Llc | Woodbury | NY | 07/2017 | Present |
| Vanderbilt Advisory Services | Woodbury | NY | 07/2017 | Present |
1.) Empowered Investments. Investment related. Address: 400 Estudillo Ave., Suite# 208, San Leandro, CA 94577. Nature of business: DBA Only. Position/Title: Owner. Start date: 01/01/2016. Number of hours devoted during securities trading hours: 100% of time. Duties: DBA Only. 2) Swan Cleaners. Not Investment related. Address: 11280 Sun Valley Drive Oakland CA, 9460. Title: shareholder. Duties: no duties. Small ownership of 1% in a family dry cleaning business that is no longer operating. The business/legal entity remains open, but with no activity. Time spent during regular business hours is 0%.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-06-29 |
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