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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2024-06-24 |
| RI | RA | APPROVED | 2018-11-02 |
Branch Locations
North Kingstown, RI • United States
935 Jefferson Boulevard Suite 2000, Warwick, RI 02886 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bishop Hendricken High School | Warwick | RI | 08/1994 | Present |
| John Hancock Mutual Life Insurance Co. | Warwick | RI | 05/1997 | 11/2018 |
| Signator Investors, Inc. | Warwick | RI | 05/1997 | 11/2018 |
| Royal Alliance Associates, Inc. | Warwick | RI | 11/2018 | Present |
1. VOLLEYBALL COACH AT BISHOP HENDRICKEN HIGH SCHOOL. THIS IS A NON-INVESTMENT RELATED BUSINESS. THE ADDRESS IS 2615 WARWICK AVE WARWICK, RI 02889. I BEGAN COACHING IN THE FALL OF 1993. THE POSITION REQUIRES APPROXIMATELY 80 HOURS PER MONTH DURING THE THREE MONTH SEASON. THE MAJORITY(90%)OF THESE HOURS ARE AFTER SECURITIES TRADING HOURS. MY DUTIES CONSIST OF HOLDING TRYOUTS, PLANNING DAILY PRACTICES, MOTIVATING THE TEAM MEMBERS AND OVERALL SUPERVISION OF THE PLAYERS DURING PRACTICES AND GAMES.... 2. INSURANCE BROKER FOR HEALTH WITH BCBS OF RI AT 444 WESTMINSTER STREET PROVIDENCE, RI 02903-3279 NATURE OF ACTIVITY: GROUP HEALTH INSURANCE. POSITION/TITLE: BROKER START DATE MARCH 2001 APPROXIMATE HOURS PER MONTH= 1 PER MONTH DURING REGULAR SECURITIES HOURS= 0 PER MONTH... 3. Coach & Director: South County Junior Volleyball Club 75 Eastwick Rd North Kingstown, RI 02852, 10/1/2015, 30 hrs mo, 0 trading. 4. INSURANCE SALES POSITION: agent NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/01/2001 ADDRESS: 935 Jefferson Blvd, Suite 2000, Warwick RI 02886, United States DESCRIPTION: provide quotes and applications for group health insurance 5. INDEPENDENCE FINANCIAL PARTNERS POSITION: Investment Representative NATURE: A partnership used as a marketing name for activities associated with my Osiac OSJ INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 100 START DATE: 04/01/1997 ADDRESS: 935 Jefferson Blvd, 2000, Warwick RI 02886, United States DESCRIPTION: Investment Rep
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-01-11 |
| S63 | Uniform Securities Agent State Law Examination | 1997-12-15 |
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