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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-06-20 |
| NY | RA | APPROVED | 2024-06-18 |
Branch Locations
400 Meridian Centre Suite 101, Rochester, NY 14618 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Esl Investment Services, Llc | Rochester | NY | 03/2015 | 05/2024 |
| Lpl Financial Llc | Fairport | NY | 03/2015 | 05/2024 |
| Massmutual Life Insurance Co. | Rochester | NY | 06/2024 | Present |
| Mml Investors Services Llc | Rochester | NY | 06/2024 | Present |
1)NAME: SONG HILL WINERY, INV REL:N ADDR: 521 COUNTY ROAD 9, VICTOR NY 14564, NATURE: FAMILY WINERY, POSITION:PARTIAL OWNER, START: 06/2024 NO HR/MO:1 NO HR/MO DUR TRADING:0 DUTIES: OWN LESS THAN 1% OF THE COMPANY. WHEN NEEDED I HELP WITH THE OPERATIONAL SIDE OF THE WINERY AND SOMETIMES HELP CUSTOMERS ON THE WEEKENDS WHEN NEEDED. 2)NAME:CHARITABLE IMPACT GAMERS INC, INV REL:N ADDR: @ RESIDENTIAL ADDRESS ON FILE, NATURE:CHARITABLE FUNDRAISING, POSITION: PRESIDENT OF THE BOARD OF DIRECTORS, START: 6/2024, NO HR/MO:10 NO HR/MO DUR TRADING:0 DUTIES: CHARITABLE FUNDRAISING BY PLAYING VIDEO GAMES ON TWITCH, CORNHOLE TOURNAMENT AND EVENTS AT A LOCAL BAR.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-10-11 |
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