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437 Newman Springs Road, Lincroft, NJ 07738 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2024-05-22 |
| VT | RA | APPROVED | 2024-05-16 |
Branch Locations
462 Shelburne Road, Burlington, VT 05402 • United States
Peabody, MA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cafe' Rossetti'S | Winthrop | MA | 06/2006 | 05/2024 |
| Putnam Investments | Andover | MA | 12/2009 | 01/2018 |
| Gwfs Equities, Inc. | Andover | MA | 01/2015 | 10/2018 |
| Transamerica Investors Securities Corporation | Peabody | MA | 10/2018 | 05/2024 |
| Transamerica Retirement Solutions | Peabody | MA | 10/2018 | 05/2024 |
| World Investment Advisors, Llc | Santa Barbara | CA | 05/2024 | Present |
| Acrisure Investment Advisory Solutions, Llc | Burlington | VT | 05/2024 | Present |
1. N/A; Non-Investment Related; 462 Shelburne Rd. 5th Floor Burlington VT 05401; LIfe & Health Insurance; Insurance Agent; 5/13/2024; 20 hours per month; 20 hours during trading hours; Prospecting and selling individual insurance policies. 2. Mike Ross Sports Cards; Non-Investment Related; Peabody MA 01960; I utilize an eBay store to sell sports cards out of my collection. I previously also utilized a live auction platform named Whatnot to sell these items. I no longer use Whatnot, but still do have an active eBay store that I may use from time to time to sell an item out of my collection.; Owner; 5/13/2024; 5 hours per month; 5 hours during trading hours; I utilize an eBay store to sell sports cards out of my collection. I previously also utilized a live auction platform named Whatnot to sell these items. I no longer use Whatnot, but still do have an active eBay store that I may use from time to time to sell an item out of my collection.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-04-09 |
| S63 | Uniform Securities Agent State Law Examination | 2011-09-06 |
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