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12 East 49Th Street Floor 11, Office 1109, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-12-24 |
Branch Locations
12 East 49Th Street Floor 11, Office 1109, New York, NY 10017 • United States
4250 Veterans Memorial Highway Suite 2100W, Holbrook, NY 11741 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Asgard Regulatory Group, Llc | Holbrook | NY | 09/2008 | Present |
| Jefferson National Securities Corporation | Louisville | KY | 02/2009 | 04/2018 |
| Swedbank Securities Us, Llc | New York | NY | 04/2012 | 12/2020 |
| Capital Asset Advisors, Inc. | Oyster Bay | NY | 12/2012 | 02/2018 |
| Jm Financial Private Wealth Inc | New York | NY | 04/2026 | Present |
| Iq Capital (Usa) Llc | New York | NY | 01/2017 | 09/2021 |
| Auriga Usa, Llc | New York | NY | 06/2009 | 02/2019 |
| Quadriga Us Management Company, Llc | New York | NY | 04/2018 | 02/2019 |
| Brg Capstone Capital Advisors Llc | New York | NY | 02/2019 | 10/2020 |
| Standard New York, Inc. | New York | NY | 04/2019 | 02/2024 |
| Jm Financial Securities, Inc. | New Jersey | NJ | 06/2019 | Present |
| Icbc Standard Securities Inc. | New York | NY | 08/2019 | Present |
| Family Investors Company | Fanwood | NJ | 08/2020 | 03/2024 |
| Usrem Securities Llc | New York | NY | 03/2023 | 11/2024 |
| Uptick Securities, Llc | Cambridge | MA | 06/2023 | 01/2024 |
| Exemplar Capital, Llc | Boston | MA | 10/2023 | 03/2025 |
| Rmb Securities (Usa) Inc. | New York | NY | 07/2022 | 09/2025 |
| Yorkville Securities, Llc | Mountainside | NJ | 04/2024 | 06/2025 |
| Remsenburg Capital, Llc | Melville | NY | 11/2024 | 04/2025 |
| Incred Wealth Inc. | New York | NY | 05/2025 | Present |
| Incred Securities Inc. | New York | NY | 05/2025 | Present |
| Zl Zenithar (Usa) | New York | NY | 04/2026 | Present |
Asgard Regulatory Group, LLC ("Asgard"): (i) non-investment-related; (ii) Holbrook, NY; (iii) regulatory compliance and risk management services; (iv) CEO; (v) 08/2008; (vi) approx. 150 hours per month; (vii) approx. 150 hours per month during trading hours; and (viii) act in a senior role with authority over business as well as serving through Asgard as a Chief Compliance Officer or other registered roles which are reflected within registration history. Intelligent Bio Solutions, Inc.: (i) non-investment-related; (ii) New York, NY; (iii) life sciences; (iv) non-executive director; (v) 09/2018; (vi); approx. 5 hours per month; (vii) approx. 1-2 hours per month during trading hours; and (viii) participates in Board meetings. RMB Securities (USA) Inc: (i) investment-related; (ii) New York, NY; (iii) broker-dealer; (iv) non-executive Director; (v) 07/2022; (vi); approx. 5 hours per month; (vii) approx. 0 hours per month during trading hours; and (viii) participates in Board meetings.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-10-24 |
| S63 | Uniform Securities Agent State Law Examination | 2000-05-09 |
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