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190 Carondelet Plaza Suite 600, St. Louis, MO 63105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-08-13 |
| TX | RA | APPROVED | 2024-08-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sefcu | Albany | NY | 04/2004 | 10/2019 |
| Lpl Financial Llc | Albany | NY | 07/2011 | 10/2019 |
| Focus Partners Wealth, Llc | Boston | MA | 08/2024 | Present |
| Ballston Spa National Bank | Ballston Spa | NY | 10/2019 | 07/2024 |
the name of the other business: Estate Planning Association of Eastern NY whether the business is investment-related: Yes the address of the other business: POB 11136, Loudonville, NY 12211 the nature of the other business: Professional Association for professionals involved within the Estate Planning industry. Additionally, membership and networking your position: Board Member, Director title, or relationship with the other business: Board Member, Director the start date of your relationship: 07/01/2025 the approximate number of hours/month you devote to the other business: 3 the number of hours you devote to the other business during securities trading hours: 0 and briefly describe your duties relating to the other business: Oversight of the association, programming, member leader
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-07-17 |
| S63 | Uniform Securities Agent State Law Examination | 2002-10-25 |
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