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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2026-04-30 |
| PA | RA | APPROVED | 2026-04-29 |
Branch Locations
85 Broad Street 25Th Floor,26Th Floor, New York, NY 10004 • United States
Delray Beach, FL • United States
150 Monument Road Suite 207, Bala Cynwyd, PA 19004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2020-05-14 |
Branch Locations
1650 Market Street 36Th Floor, Philadelphia, PA 19103 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Eab Investment Group | New York | NY | 01/2011 | Present |
| Srt Securities Llc | New York | NY | 12/2012 | 01/2021 |
| Guggenheim Securities, Llc | New York | NY | 07/2020 | 04/2026 |
| Oppenheimer & Co. Inc. | New York | NY | 04/2026 | Present |
Easterly EAB Risk Solutions LLC || Small Private Company - Asset Management of institutional accounts running EAB's current Domestic Hedge Equity strategy || LOCATED: Philadelphia PA||Passive Partner || START: 01/2022 ||DEVOTE: 2hrs/mth with 1hrs/mth during securities trading hrs || investment related ||+||EAB Investment Group || SEC Registered Investment Advisor || LOCATED: Philadelphia PA ||Non-Executive Chairman as on 2022|| START: 01/2011 ||DEVOTE: 40hrs/mth with 10hrs/mth during securities trading hrs || investment related ||
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-09-24 |
| S63 | Uniform Securities Agent State Law Examination | 2011-09-26 |
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