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3663 Route 9 N Suite 2, Old Bridge, NJ 08857 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2022-10-21 |
Branch Locations
3275 Veterans Memorial Hwy Ste B9, Ronkonkoma, NY 11779 • United States
3663 Route 9 N Suite 2, Old Bridge, NJ 08857 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cape Securities Inc | Mcdonough | GA | 08/2012 | 11/2019 |
| Phx Financial Inc. | New York | NY | 11/2019 | 12/2021 |
| The Spaventa Group | Ronkonkoma | NY | 12/2021 | Present |
| Tsg Alpha Partners, Llc | Ronkonkoma | NY | 10/2022 | Present |
Name of the other business: The Spaventa Group, Investment-related? Yes, Address of other business: 3275 Veterans Memorial Highway, Suite B9, Ronkonkoma, NY 11779, Nature of the other business: Venture Capital, Position, title, or relationship with the other business: Advisor, Start Date: January 2020, Approximate number of hours/month you devote to the other business: Approx. 40% to 50% weekly, Number of hours you devote to the other business during securities trading hours: Approx. 40% to 50% weekly, Duties relating to the other business: Advisor
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2024-09-17 |
| S65 | Uniform Investment Adviser Law Examination | 2022-08-29 |
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