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3945 Freedom Circle, Santa Clara, CA 95054 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NH | RA | APPROVED | 2025-05-22 |
| TX | RA | APPROVED | 2024-06-27 |
| MA | RA | APPROVED | 2022-11-02 |
Branch Locations
382 N Main St Suite 201, East Longmeadow, MA 01028 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fidelity Investments Institutional Services Company, Inc. | Boston | MA | 10/1996 | 03/2020 |
| Fidelity Brokerage Services Llc | Marlborough | MA | 01/2008 | 03/2020 |
| The Prudential Insurance Company Of America | Marlborough | MA | 11/2020 | 04/2021 |
| Pruco Securities, Llc | Marlborough | MA | 11/2020 | 04/2021 |
| Unemployed | Mansfield | MA | 04/2020 | 11/2020 |
| Citizens Securities, Inc. | Cambridge | MA | 04/2021 | 10/2022 |
| Financial Engines Advisors L.L.C. | Santa Clara | CA | 10/2022 | Present |
1) RENTAL PROPERTY - 200 SWANTON STREET UNIT 511 WINCHESTER, MA POSITION: landlord NATURE: Real Estate Development Rental and Leasing INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2006 ADDRESS: 200 Swanton Street, unit 511, Winchester MA 01890, United States DESCRIPTION: collecting rent; repairs as necessary 2) Belize Lot 149 LLC; INVESTMENT RELATED: No; ADDRESS: 1401 Brickell Ave, Suite 330, Miami, FL 33131; NATURE: Land in Belize, rental property to be built on it.; POSITION: Owner; START DATE: 11/03/2022; NUMBER OF HOURS/MONTH: 03 Hrs.; HOURS/MNTH DURING SECURITIES TRADING HOURS: 0 Hrs.; DUTIES: Trying to get the build done, then administrative. Management company will handle rentals and maintenance.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-06-02 |
| S63 | Uniform Securities Agent State Law Examination | 1996-11-18 |
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