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99 Park Avenue Floor 8, New York, NY 10016 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-03-04 |
Branch Locations
99 Park Avenue Floor 8, New York, NY 10016 • United States
Kingston, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Four Points Capital Partners | New York | NY | 04/2011 | Present |
| Four Points Advisors | New York | NY | 01/2015 | Present |
| Four Points Insurance Agency | New York | NY | 11/2015 | Present |
| Compliance Risk Concepts | New York | NY | 06/2018 | Present |
| Ifp Securities | Tampa | FL | 06/2019 | 04/2020 |
| Stackin Financial, Llc | Venice | CA | 02/2019 | 01/2021 |
| Arlington Capital Services, Llc | Birmingham | AL | 06/2019 | 09/2020 |
| Stockpile Investments, Inc. | New York | NY | 02/2020 | 09/2020 |
| Pennhaven Brokerage Partners, Llc | West Chester | PA | 12/2020 | 08/2022 |
| Nium, Inc. | Bedminster | NJ | 08/2020 | 06/2021 |
| Tcbi Securities | Dallas | TX | 06/2021 | 01/2022 |
| Mirae Asset Wealth Management Usa, Inc. | Los Angeles | CA | 04/2021 | 01/2022 |
| Melius Research | New York | NY | 03/2021 | 06/2021 |
(1) FOUR POINTS ADVISORS, LLC: Investment related; 99 Park Avenue, 25th Floor, New York, NY 10016; Registered Investment Adviser; Manager; CEO/CCO; start 01/2015; 90 hour per month; 50 hours during trading. (2) FOUR POINTS INSURANCE AGENCY, LLC: Investment related; 99 Park Avenue, 25th Floor, New York, NY 10016; Insurance agency; Owner; start 11/2015; 2 hours per month; assist the entity in areas as an owner on an ad hoc basis. (3) FOUR POINTS CAPITAL PARTNERS, LLC: Investment related; 99 Park Avenue, 25th Floor, New York, NY 10016; Broker-dealer; Compliance, operations, and business development; start 04/2011; 10 hours per month; Assist with compliance, operations, and proposed business matters on an ad hoc basis. (4) Prospect Street Holdings, LLC and Prospect Innovations, LP (a "Series Limited Partnership") - Kingston, NY, Investment Related, Started April 2022, Managing Member, Operations and business development. Prospect Street Holdings, LLC acts as the General partner and/or manager to the funds/SPVs of Prospect Innovations, LP. Each fund is established as a stand alone pooled investment vehicle as part of a series of funds within a unified private equity investment platform managed by Prospect Street Holdings, LLC.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-08-23 |
| S66 | Uniform Combined State Law Examination | 2008-06-25 |
| S63 | Uniform Securities Agent State Law Examination | 2004-02-27 |
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