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1400 Urban Center Drive Suite 475, Vestavia Hills, AL 35242-2245 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-03-19 |
| NY | RA | APPROVED | 2026-03-18 |
Branch Locations
1400 Urban Center Drive Suite 475, Vestavia Hills, AL 35242-2245 • United States
85 Civic Center Plaza Suite 202, Poughkeepsie, NY 12601 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Axa Advisors, Llc | New York | NY | 11/2007 | 06/2020 |
| Equitable Advisors, Llc | New York | NY | 11/2007 | 03/2026 |
| Private Client Services | Poughkeepsie | NY | 03/2026 | Present |
| Rfg Advisory Llc Dba Aspire Financial Group | Poughkeepsie | NY | 03/2026 | Present |
1) Aspire Financial Group; investment-related; 85 Civic Center Plaza, Suite 202, Poughkeepsie, NY 12601; DBA; number of hours per month: 160; number of hours per month during trading hours: 160. 2) RFG Advisory; investment-related; 1400 Urban Center Drive, Suite 475, Birmingham, AL 35242; RIA firm; investment adviser representative; start date: 03/2026; number of hours per month: 160; number of hours per month during trading hours: 160.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-10-27 |
| S63 | Uniform Securities Agent State Law Examination | 2003-03-24 |
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