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250A Centerville Road Suite 2, Warwick, RI 02886 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-06-26 |
| MA | RA | APPROVED | 2023-08-29 |
| RI | RA | APPROVED | 2019-12-17 |
Branch Locations
250A Centerville Road Suite 2, Warwick, RI 02886 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Financial Services, Llc. | Smithfield | RI | 11/2007 | 06/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Providence | RI | 11/2018 | 11/2019 |
| Unemployed | Smithfield | RI | 06/2018 | 11/2018 |
| Spinnaker Asset Management Inc. | Warwick | RI | 11/2019 | Present |
| Purshe Kaplan Sterling Investments | Albany | NY | 09/2021 | Present |
1) Spinnaker Asset Management. Investment Related. At registered location. Wealth Management. Financial Advisor. 11/2019. 80hrs/mo. 4hrs/mo during trading. Financial Planning and Investment Management 2) Fixed Insurance. Investment Related. At registered location. Fixed/Traditional Insurance. Agent. 09/2021. 10hrs/mo. 10hrs/mo during trading hrs. Sales of Fixed/Traditional Insurance Products 3) PKS Financial. Investment Related. 80 State Street, Albany NY 12207. Fixed/Traditional Insurance. Agent. 09/2021. 10hrs/mo. 10hrs/mo during trading hrs. Sales of Fixed/Traditional Insurance Products 4) Picillo Advisors LLC. Not investment related. 40 Tifft Rd North Smithfield, RI 02896. Holding Company. Owner. 11/28/2023. Hrs/month 40 all during trading hours. Picillo Advisors, LLC is the intended pass-through entity.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-12-18 |
| S63 | Uniform Securities Agent State Law Examination | 2007-03-26 |
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