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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NH | RA | APPROVED | 2023-01-27 |
| TX | RA | APPROVED | 2022-01-06 |
| MA | RA | APPROVED | 2020-05-13 |
Branch Locations
255 State Street 5Th Floor, Boston, MA 02109 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | Boston | MA | 12/2015 | 04/2020 |
| Oppenheimer & Co. Inc. | Boston | MA | 04/2020 | Present |
1. I AM CURRENTLY WRITING A BOOK ENTITLED-FAMILY OFFICE ESSENTIALS-HOW TO PREVENT FAMILY WEALTH DESTRUCTION. 1 HOUR PER WEEK, P.O. BOX 241, WENHAM, MA 01984. I STARTED WRITING THE BOOK 10 YEARS AGO. 2. Poseidon Properties, LLC; 261 Wheeler Road Boca Grande FL 33921; It is a second home owned by my wife that we occasionally rent out; 11/20/2009; 0.00 Hour(s) Per Day; not during securities trading hours; Investment-Related
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2014-12-15 |
| S66 | Uniform Combined State Law Examination | 1998-11-07 |
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