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7101 Guilford Drive, Suite 104, Frederick, MD 21704 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MD | RA | APPROVED | 2021-06-01 |
Branch Locations
7101 Guilford Drive, Suite 104, Frederick, MD 21704 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Frederick | MD | 09/2005 | 05/2021 |
| Purshe Kaplan Sterling Investments | Albany | NY | 05/2021 | Present |
| Veridian Capital Partners | Frederick | MD | 05/2021 | Present |
| Diversified Business Associates | Frederick | MD | 01/2012 | Present |
1) Veridian Capital Partners. Investment related. Located at 7101 Guilford Drive, Suite 104, Frederick, MD 21754. Nature - RIA. Position - Owner, Private Wealth Advisor. Start - 05/2021. 160 hours per month, 160 hours during trading hours. Duties - Advising clients on Portfolio Management. 2) PKS Financial. Investment Related. Located at 80 State Street, Albany, NY 12207. Nature - Fixed Insurance and Annuity Business. Position - Agent. Start 05/2021. 5 hours per month, 5 hours during trading hours. Duties - sell Fixed Insurance and Annuities. 3) Fixed Insurance - Investment Related. Located at 7101 Guilford Drive, Suite 104, Frederick, MD 21754. Nature - Fixed Insurance and Annuity Business. Position - Agent. Start 05/2021. 5 hours per month, 5 hours during trading hours. Duties - sell Fixed Insurance and Annuities. 4) Diversified Business Associates, LLC; Not Investment Related. Located at 7101 Guilford Drive, Suite 104, Frederick, MD 21754. President; Nature - Lease buildings and pay employees. Position - President. Start - April 2012. 10 hours per month; 0 during trading hours. Duties - To pay the expenses of running the Financial Planning/ Wealth Management practice 5) Rental Property. Not investment related. Located at 5784 Antwerp Street, Ijamsville, MD 21754. 50% Owner. Nature - Real Estate Rental. Start - 2018. 1 hour per month, 0 during trading hours. Duties - collect rent. 6) R&R Resources, LLC. Not Investment Related. Located at 7101 Guilford Drive, Suite 104, Frederick, MD 21754. Position - Managing Member. Nature - manages the property that houses the practice. Start - Sept 2014. 1 hour per month; 0 during trading hours. Duties - manage the property that houses the practice.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1998-03-05 |
| S65 | Uniform Investment Adviser Law Examination | 1997-10-30 |
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