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205 W. Court St., Rome, NY 13440 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-11-17 |
| NY | RA | APPROVED | 2021-08-04 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Alan R. Leist Planning Group, Inc. | Utica | NY | 02/2006 | 04/2019 |
| Cadaret, Grant & Co., Inc. | Utica | NY | 03/2006 | 10/2018 |
| Strategic Financial Services Inc. | Utica | NY | 09/2002 | 04/2019 |
| Birch Wealth Management | Rome | NY | 05/2019 | Present |
| Birch Wealth Management | Rome | NY | 06/2019 | Present |
1) NOTARY PUBLIC - NO. BU6068436, 1106 N.GEORGE ST. ROME, NY 13440, NOT INVESTMENT-RELATED. START 2000, 1 HOUR PER MONTH ALL DURING TRADING HOURS. 2) INDEPENDENT INSURANCE AGENT. 1106 N. GEORGE ST. ROME, NY 13440, NOT INVESTMENT-RELATED. START-2001. 2 HOURS PER MONTH ALL DURING TRADING HOURS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-11-07 |
| S63 | Uniform Securities Agent State Law Examination | 2003-05-22 |
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