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24 West 40Th Street 15Th Floor, New York, NY 10018 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-04-28 |
Branch Locations
24 West 40Th Street 15Th Floor, New York, NY 10018 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Fairfield | CT | 12/2016 | 12/2022 |
| Vanguard Marketing Corporation | Fairfield | CT | 05/2015 | 12/2016 |
| Ritholtz Wealth Management | New York | NY | 01/2023 | Present |
Name of Business: Rental properties (3) Investment-related: Address: Charlotte, NC Position: Landlord/Owner Start date: 10/2005 Approximate number of hours/month you devote to the other business: <1 Number of hours you devote during securities trading hours: 0 NAME OF BUSINESS: AUTHORIZED AGENT FOR SPOUSE INVESTMENT-RELATED: Y ADDRESS: FAIRFIELD, CT START DATE: 12/2011 APPROXIMATE HOURS/MONTH: 1 HOURS DEVOTED DURING TRADING HOURS: 0 NAME OF BUSINESS: AUTHORIZED AGENT FOR PARENT INVESTMENT-RELATED: Y ADDRESS: FAIRFIELD, CT START DATE: 12/2011 APPROXIMATE HOURS/MONTH: 1 HOURS DEVOTED DURING TRADING HOURS: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-04-28 |
| S63 | Uniform Securities Agent State Law Examination | 2003-11-21 |
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