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530 Broadway 4Th Floor, New York, NY 10012 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-11-15 |
Branch Locations
Mill Creek, WA • United States
530 Broadway 4Th Floor, New York, NY 10012 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Guardian Life Ins | San Diego | CA | 10/2015 | 10/2017 |
| Park Avenue Securities | San Diego | CA | 10/2015 | 10/2017 |
| Guardian Life Insurance Company | La Jolla | CA | 10/2017 | 04/2019 |
| Park Avenue Securities | La Jolla | CA | 10/2017 | 04/2019 |
| J.W. Cole Financial, Inc. | Tampa | FL | 04/2019 | 11/2021 |
| J.W. Cole Advisors, Inc. | Tampa | FL | 04/2019 | 11/2021 |
| Jw Cole Financial, Inc. | Tampa | FL | 11/2021 | 12/2021 |
| Open To The Public Investing, Inc. | New York | NY | 10/2021 | Present |
| Public Holdings, Inc. | New York | NY | 11/2021 | Present |
1. DLK Systems Engineering; not investment related; start date 11/1/2019 - Administrative position; Address: 4730 University Way NE, Ste 104-2349, Seattle, WA 98105; Engineering service; 1 hrs per mo; 0 hrs per mo during securities trading hours; Help with administrative duties during projects. 2. FINRA; not investment related; start date 8/21/2020 - Arbitrator; 14608 Main St, Apt Y305, Mill Creek, WA 98012; research cases assigned and appear on arbitration panel as an arbitrator; 0 hours per month, 0 hours during securities trading hours; Non-public Arbitrator. 3. Public Holdings, Inc. Investment related. 6 Harrison St, New York, NY 10013. Holding company for domestic and foreign investment related companies. Compliance Manager. 11/15/2021. 20+ hours per month devoted to other business. 20+ hours per month during securities trading hours. Compliance duties for the enterprise. 4. Highland Trails HOA. Not Investment related. 3105 140th pl SE, Mill Creek, WA, 98012. 4/9/2026. 2 hours per month devoted to business, outside securities trading hours. Volunteer Board Member. Assist HOA with projects around common areas maintenance, HOA finances, and enforcement of governing documents (CC&Rs).
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-05-11 |
| S63 | Uniform Securities Agent State Law Examination | 2008-09-22 |
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