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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-26 |
| NH | RA | APPROVED | 2018-02-02 |
| NC | RA | APPROVED | 2017-11-16 |
| FL | RA | APPROVED | 2017-11-14 |
| MD | RA | APPROVED | 2017-11-13 |
| PA | RA | APPROVED | 2017-11-13 |
| GA | RA | APPROVED | 2017-07-12 |
| NV | RA | APPROVED | 2017-04-18 |
| MA | RA | APPROVED | 2017-04-04 |
| SC | RA | APPROVED | 2017-04-03 |
| NJ | RA | APPROVED | 2017-03-29 |
| IL | RA | APPROVED | 2017-03-28 |
| TX | RA | APPROVED_RES | 2017-03-28 |
Branch Locations
1415 Kellum Place Suite 205, Garden City, NY 11530 • 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 |
|---|---|---|---|---|
| Asset & Financial Planning, Ltd. | Flushing | NY | 07/2002 | Present |
| Royal Alliance Associates, Inc. | Vernon | CT | 11/2006 | 08/2023 |
| Osaic Wealth, Inc | Vernon | CT | 08/2023 | Present |
1. METROPOLITAN CAPITAL TAX & WEALTH MANAGEMENT POSITION: Agent/advisor NATURE: Insurance: fixed annuities, index annuities, fixed life insurance, Long Term Care Insurance, etc INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 10/01/1996 ADDRESS: 1415 Kellum Place, 205, Garden City NY 11530, United States DESCRIPTION: I evaluate a clients need for insurance and estate planning. My tax and financial planning background affords me the ability to determine if a particular type of insurance, annuity strategy would benefit the client and their family. I specialize in using tax reduction strategies to help create a more effective financial plan. 2. METROPOLITAN CAPITAL TAX & WEALTH MANAGEMENT POSITION: Accountant/owner NATURE: Tax and accounting services INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 10/01/1996 ADDRESS: 1415 Kellum Place, 205, Garden City NY 11530, United States DESCRIPTION: I prepare personal tax returns for clients, I provide tax planning, income planning, retirement planning, educational planning, estate planning, insurance planning, etc. My background affords me the ability to better provide cost effective financial planning advice to me clients.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-02-14 |
| S63 | Uniform Securities Agent State Law Examination | 1997-02-07 |
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