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858 Camp Street, New Orleans, LA 70130 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NH | RA | APPROVED | 2023-11-30 |
| NM | RA | APPROVED | 2021-11-01 |
| TX | RA | APPROVED_RES | 2021-11-01 |
Branch Locations
858 Camp Street, New Orleans, LA 70130 • United States
8205 Spain Road Ne Suite 115, Albuquerque, NM 87109 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mid Atlantic Capital Corporation | Albuquerque | NM | 05/2014 | Present |
| Mid Atlantic Financial Management, Inc. | Pittsburgh | PA | 05/2014 | Present |
| Newedge Advisors, Llc. | New Orleans | LA | 11/2021 | Present |
1)WATERS & ROOSILD, LLC, DBA KIVI FINANCIAL GROUP~INVESTMENT RELATED~8205 SPAIN RD NE, STE 115, ALBUQUERQUE, NM 87109~RECEIVES ALL COMMISSIONS AND FEES FROM FINANCIAL SERVICES SALES~100% OWNER~JANUARY 2005~12HRS PER MONTH~10HRS PER MONTH DURING MARKET~ALL DUTIES AND RESPONSIBILITIES RELATED TO THE SALE OF FINANCIAL PRODUCTS, BOOKKEEPING, MANAGEMENT OF BUSINESS FINANCES, SUPERVISION OF EMPLOYEES - - - - - - - - - - 2)NEUTRAL FINANCIAL SPECIALIST~NON INVESTMENT RELATED~8205 SPAIN RD NE, STE 115, ALBUQUERQUE, NM 87109~COLLABORATIVE DIVORCE PROCESS~FINANCIAL COACH~MAY 2005~15HRS PER MONTH~10HRS PER MONTH DURING MARKET~EDUCATE CLIENTS & ATTORNEYS & COLLECT/ORGANIZE FINANCIAL INFORMATION - - - - - - - - 3)TRUSTEE OF TRUST THAT OWNS MULTIPLE PROPERTIES~NON INVESTMENT RELATED~PLACITAS, NM 87043~RENTAL PROPERTY~OWNER~APRIL 2011~1HR PER MONTH~0HRS PER MONTH DURING MARKET~PROPERTY MANAGEMENT AND COLLECTION OF RENT 4) Kivi Insurance Group LLC...Investment Related...Albuquerque, NM 87109....Fixed Insurance sales: life, health, fixed annuities, disability, long term care...Partner...1/1/22 start date...10per month...5 hours per month during market...Manage staff with new product sales and client service 5)Kivi Studios LLC*No Invest*Taos, NM*Owner*Commercial Real Estate*7/1/23*5 Per mnth*Collect rent from tenants, pay mortgage and expenses 6)NewEdge Advisors*Yes Invest*Albuquerque, NM *Investment Advisor*1/1/03*Investment management, financial planning, client meetings*80 hrs week*
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-07-24 |
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