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350 Linden Oaks Suite 140, Rochester, NY 14625 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2026-03-11 |
| SC | RA | APPROVED | 2025-11-03 |
| ME | RA | APPROVED | 2024-10-25 |
| MA | RA | APPROVED | 2024-05-09 |
| NY | RA | APPROVED | 2021-10-22 |
| OH | RA | APPROVED | 2019-10-24 |
| NC | RA | APPROVED | 2018-10-22 |
| CA | RA | APPROVED | 2018-06-05 |
| VA | RA | APPROVED | 2015-02-24 |
Branch Locations
350 Linden Oaks Suite 140, Rochester, NY 14625 • United States
18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-10-11 |
| NY | RA | APPROVED | 2024-10-11 |
Branch Locations
350 Linden Oaks Suite 140, Rochester, NY 14625 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| American Portfolios Financial Services | Rochester | NY | 03/2006 | 10/2024 |
| Novem Group, Inc. | Rochester | NY | 08/2011 | Present |
| Osaic Wealth, Inc. | Scottsdale | AZ | 10/2024 | Present |
1) NOVEM GROUP, INVESTMENT-RELATED, INVESTMENT ADVISER REPRESENTATIVE, START DATE 8/2011, 80 HRS/MO DURING MARKET HRS 2) OSAIC WEALTH, INC., INVESTMENT-RELATED, REGISTERED REPRESENTATIVE, START DATE 10/2024, 60 HRS/MO DURING MARKET HRS 3) OSAIC WEALTH, INC., INVESTMENT-RELATED, INVESTMENT ADVISER REPRESENTATIVE, START DATE 10/2024, 10 HRS/MO DURING MARKET HRS 4) INSURANCE AGENT, NOT INVESTMENT-RELATED, 10 HRS/MO DURING MARKET HRS 5) NEW YORK EMPLOYEE BENEFITS CONFERENCE, NOT INVESTMENT-RELATED, BOARD MEMBER, START DATE 3/2012, 4 HRS/MO AND 0 HRS/MO DURING MARKET HRS
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-07-29 |
| S63 | Uniform Securities Agent State Law Examination | 1996-11-14 |
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