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400 East Vine St Suite 400, Lexington, KY 40507 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-04-21 |
| OH | RA | APPROVED | 2012-03-02 |
| KY | RA | APPROVED | 2010-04-12 |
Branch Locations
400 East Vine St Suite 400, Lexington, KY 40507 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Apw Capital, Inc. | Parsippany | NJ | 03/2010 | 09/2021 |
| Ballast, Inc. | Lexington | KY | 03/2010 | Present |
1. -INSURANCE AGENT; LEXINGTON, KY; FIXED INSURANCE/INCLUDES EQUITY INDEXES; SVC. DESCRIPTION: INSURANCE (FIXED ON LIFE); SOLE PROPRIETORSHIP; START DATE: 1/1/2008; TITLE: AGENT; DUTIES: AGENT; 5% TIME SPENT. 2. - Idle Hour Country Club, Board of Governors and Executive Committee Member and Treasurer. Discuss on and vote on operational and investment matters. 3. - A member of The Lexington School Endowment Committee. The Committee hires outside consultants and managers to manage funds or select the investments. We monitor the outside consultants and managers performance and report back to the Board.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2004-06-30 |
| S65 | Uniform Investment Adviser Law Examination | 2002-10-01 |
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