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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-26 |
| NJ | RA | APPROVED | 2018-11-02 |
Branch Locations
191 New York Avenue 2Nd Floor, Huntington, NY 11743 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sii / John Hancock Financial Network | New York | NY | 09/2006 | 11/2018 |
| Osaic Wealth, Inc. | Westbury | NY | 11/2018 | Present |
1. CLIENT FOCUSED ADVISORS POSITION: EVP, Financial Advisor NATURE: LLC, that is used as DBA for myself. INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 04/29/2013 ADDRESS: 191 New York Ave., 2nd Floor, Huntington NY 11743, United States DESCRIPTION: Client Focused Advisors is the DBA under the way I market my investment and security Business 2. INSURANCE BROKER POSITION: Insurance Broker NATURE: Insurance Broker INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 09/05/2006 ADDRESS: 191 New York Ave., 2nd Floor, Huntington NY 11743, United States DESCRIPTION: Insurance Broker for Life Insurance, Fixed Annuities, LTC, Disability Insurance, Health & Group Benefits 3. TRUSTEE FOR IMMEDIATE FAMILY POSITION: Trustee NATURE: Trustee for Immediate Family INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/28/2020 ADDRESS: 191 New York Ave., 2nd Floor, Huntington NY 11743, United States DESCRIPTION: Trustee for Family 4. CFA BENEFITS GROUP INC. POSITION: Owner NATURE: S-Corp INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/31/2017 ADDRESS: 191 New York Ave., 2nd Floor, Huntington NY 11743, United States DESCRIPTION: This is solely used to assist in transferring royal commission and my own personal commission into the S corp for tax purposes and it the name is never held out to the public for sales or client facing reasons, only for internal business practices. 5. HOOK WEALTH MANAGEMENT LLC POSITION: Managing Member NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 10/06/2025 ADDRESS: 191 New York Ave., Huntington NY 11743, United States DESCRIPTION: Hook Wealth Management is the DBA under the way I market my investment and security Business
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-09-18 |
| S63 | Uniform Securities Agent State Law Examination | 2005-04-05 |
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