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405 Lexington Avenue, 9Th Floor, New York, NY 10174 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2021-08-25 |
| NY | RA | APPROVED | 2021-05-07 |
Branch Locations
405 Lexington Avenue, 9Th Floor, New York, NY 10174 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Insight Securities Inc | Highland Park | IL | 07/2016 | 06/2017 |
| Ucap Securities Llc | New York | NY | 06/2017 | Present |
| Ucap Asset Management Llc | New York | NY | 06/2018 | Present |
*The name of the other business, Legado Wealth Management LLC *The business is investment-related, It is investment related. It will be a NYS registered RIA *The address of the other business, 275 Madison Avenue, 38th Floor, NY, NY 10016 *The nature of the other business, Provide investment advice, insurance advice and financial planning to clients *Position, title, or relationship with the other business, Sole Managing-Member *Start date, 07/17/2019 *The approximate number of hours/month you devote to the other business, Approximately 50 hours per month during securities trading hours *The number of hours devoted to the other business during securities trading hours, Approximately 50 hours per month during securities trading hours *Brief description of duties relating to the other business. Provide fee-based investment advice, insurance advice and financial planning to clients in the NYS area
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-06-19 |
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