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Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-01-02 |
| MA | RA | APPROVED | 2024-08-27 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| New York Life Ins | Waltham | MA | 02/2004 | 07/2024 |
| Nylife Securities | Boston | MA | 02/2004 | 07/2024 |
| Eagle Strategies Llc | Hyannis | MA | 12/2015 | 07/2024 |
| Cetera Financial Specialists Llc | Schaumburg | IL | 07/2024 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 07/2024 | Present |
| Turning Point Financial Group | Hyannis | MA | 08/2024 | Present |
| Saint John Paul Ii High School | Hyannis | MA | 12/2024 | Present |
1) NAME OF OTHER BUSINESS: TURNING POINT FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 08/2024; POSITION/TITLE/RELATIONSHIP: OWNER/FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 50; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2) NAME OF OTHER BUSINESS: N/A - RENTAL PROPERTY; INVESTMENT RELATED: NO; ADDRESS: 174 CEDRIC RD CENTERVILLE, MA 02632; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 08/2012; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: LANDLORD FOR A SINGLE FAMILY PROPERTY; 3) NAME OF OTHER BUSINESS: N/A - RENTAL PROPERTY; INVESTMENT RELATED: NO; ADDRESS: 29 HUNTERS TRAIL SANDWICH, MA 02563; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 08/2019; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: LANDLORD FOR A SINGLE FAMILY PROPERTY; 4) BARNSTABLE YOUTH HOCKEY ASSOCIATION, NOT INVESTMENT RELATED, BOARD MEMBER, DIRECTOR FOR HOCKEY TEAM 14-18 YEARS OLD, 1H/WEEK, SINCE 09/2014 5) NAME OF OTHER BUSINESS: SAINT JOHN PAUL II HIGH SCHOOL; INVESTMENT RELATED: NO; ADDRESS: 120 HIGH SCHOOL RD HYANNIS, MA 02601; NATURE OF BUSINESS: HOCKEY COACH; START DATE: 12/2024; POSITION/TITLE/RELATIONSHIP: HEAD HOCKEY COACH; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: WORKING WITH HIGH SCHOOL STUDENTS COACHING HOCKEY;
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2004-06-17 |
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