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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-07-23 |
| NJ | RA | APPROVED | 2021-03-31 |
Branch Locations
63 Hurley Ave [Satellite], Kingston, NY 12401 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Small World Wealth Management (@ Northwestern Mutual) | Poughkeepsie | NY | 04/2014 | 05/2017 |
| Key Investment Services Llc | Poughkeepsie | NY | 05/2017 | 03/2021 |
| Wells Fargo Advisors Financial Network, Llc | Kingston | NY | 03/2021 | Present |
| Northwestern Mutual Investment Services, Llc | Poughkeepsie | NY | 03/2015 | 05/2017 |
NOTARY PUBLIC; NOT INVESTMENT RELATED; NEWBURGH,NY; START DATE 11/23/2018; NUMBER OF HOURS PER MONTH LESS THAN 1; NUMBER OF HOURS DURING TRADING 0; NOTARIZING DOCUMENTS.;| EXECUTRIX FOR FATHER'S ESTATE; INV. RELATED; BUCKHANNON, WV; START DATE 2/23/2024; 8 HRS PER MONTH; 0 HRS DURING TRADING.| POWER OF ATTORNEY; INV RELATED; PLEASANT VALLEY, NY; POA; START DATE 03/04/2025; 1 HOUR PER MONTH; 0 HOURS DURING TRADING
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-10-08 |
| S63 | Uniform Securities Agent State Law Examination | 2015-06-03 |
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