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111 Coleman Blvd Suite 402, Mount Pleasant, SC 29464 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2021-08-26 |
Branch Locations
111 Coleman Blvd Suite 402, Mount Pleasant, SC 29464 • United States
91 Camden Street Suite 310, Rockland, ME 04841 • 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Portland | ME | 08/1999 | 08/2021 |
| Apollon Wealth Management | Rockland | ME | 08/2021 | Present |
| Purshe Kaplan Sterling Investments | Albany | NY | 08/2021 | Present |
1) Apollon New England; Investment Related; See Registered Branch Location; RIA; Title - Wealth Advisor; 8/2021; 120 Hrs/Mth; 120 During Securities Trading Hrs; Investment Advisor, Client Facing 2) Fixed Insurance; Investment Related; See Registered Branch Location; Fixed/Traditional Insurance; Title - Agent; Start - 8/2021; 4 Hrs/Mth; 4 During Securities Trading Hrs; Sales of Fixed/Traditional Insurance Products 3) Gross & Net LLC; Entity for Business Operations; Holding Company for managing revenue and expenses for securities business activity. | No securities business is conducted through this entity, this services solely as a holding company.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-10-18 |
| S63 | Uniform Securities Agent State Law Examination | 1999-10-11 |
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