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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-12 |
Branch Locations
2680 South Road, Poughkeepsie, NY 12601 • United States
Newburgh, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hudson Valley Federal Credit Union | Middletown | NY | 01/2005 | 10/2020 |
| Lpl Financial Llc | Middletown | NY | 06/2010 | 10/2020 |
| Ulster Savings Bank | Poughkeepsie | NY | 10/2020 | Present |
| Cetera Investment Services Llc | St Cloud | MN | 10/2020 | Present |
| Cetera Investment Advisers Llc | Kingston | NY | 10/2020 | Present |
TRUSTEE OF THE CATHLEEN A. MCCORMICK IRREVOCABLE TRUST; MOTHER
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-09-23 |
| S63 | Uniform Securities Agent State Law Examination | 2010-08-23 |
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