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Sackets Harbor, NY • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| LA | RA | APPROVED | 2021-10-25 |
| NY | RA | APPROVED | 2021-07-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Nbt Bank | Oswego | NY | 12/2014 | 09/2019 |
| Lpl Financial Llc | Oswego | NY | 12/2014 | 09/2019 |
| Northern Credit Union | Watertown | NY | 09/2019 | 07/2021 |
| Lpl Financial Llc | Watertown | NY | 11/2019 | 07/2021 |
| Nbt Financial Services | Syracuse | NY | 11/2014 | 08/2019 |
| Northern Financial Services | Watertown | NY | 09/2019 | 07/2021 |
| Rock Ridge Wealth Llc | Sackets Harbor | NY | 07/2021 | Present |
1) 11/07/2019 - CONCEALED DESIGNS - Furniture design business - inv rel - Oswego, NY - start: 10/2019 - 10 hr/mth. I am the owner of Concealed Designs LLC a furniture design business that is still in the start up phase with currently no sales. 2) My plan is to affiliate with PKS Investments as my broker dealer for commission related business, insurance business, and group retirement accounts.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-03-02 |
| S63 | Uniform Securities Agent State Law Examination | 2002-10-28 |
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