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105 Broadhollow Road, Melville, NY 11747 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-07-27 |
| TX | RA | APPROVED | 2020-05-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Melville | NY | 06/2009 | 08/2019 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 08/2019 |
| Purshe Kaplan Sterling Investments, Inc | Albany | NY | 09/2019 | Present |
| The Wealth Alliance, Llc | Melville | NY | 08/2019 | Present |
1) The Wealth Alliance, LLC. Investment Related. 105 Broadhollow Road, Melville, NY 11747. RIA, Financial Advisor. Start 8/2019. 160hrs/mo, 130hrs/mo during trading hours. Responsible for bringing on additional clients and coordinating the management and investment strategies of their financial assets. 2) PKS Financial, Investment related, 80 State Street, Albany NY 12207, Fixed insurance sales, agent, start date 10/2019 1/1 hour a month/trading hour a month. Fixed insurance sales. 3) BKA Financial; Not Investment Related; 24 West Water Street, Suite 200, Elmira, NY 14901; Insurance; Insurance Agent; 10/2023; 2hrs/mo; 2hrs during trading; Insurance Agent. 4) Fixed Insurance. Investment Related. At Registered Location. Fixed/ Traditional Insurance. Agent. Start Date: 09/09/24. 2 hrs/ month; all during trading hours. Provide advice to clients
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-06-17 |
| S63 | Uniform Securities Agent State Law Examination | 2000-11-01 |
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