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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-07-27 |
| TX | RA | APPROVED_RES | 2016-06-08 |
| NJ | RA | APPROVED | 2016-06-03 |
Branch Locations
500 Stony Brook Ct Suite 1 [Satellite], Newburgh, NY 12550 • United States
572 Titus Ave, Rochester, NY 14617 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Financial Network,Llc | Newburgh | NY | 06/2016 | Present |
THE CAPTIVA GROUP, LLC, INV RELATED, NEWBURGH, NY, 33% OWNERSHIP FOR FINET PRACTICE, START 6/3/2016, 10 HRS PER MONTH, 12 HRS DURING TRADING. THE JP ANTHONY GROUP INC., INV RELATED, MARLBORO, NY, 100% OWNERSHIP, START 5/25/2016, 2 HOURS PER MONTH, .1 HOURS PER MONTH, FINET PRACTICE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-03-14 |
| S63 | Uniform Securities Agent State Law Examination | 2003-05-07 |
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