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4340 Redwood Highway Suite B-60, San Rafael, CA 94903 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2022-09-16 |
Branch Locations
14 Plaza Drive, Latham, NY 12110 • United States
4340 Redwood Highway Suite B-60, San Rafael, CA 94903 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Latham | NY | 06/2005 | 01/2022 |
| Bank Of America, N.A. | Latham | NY | 04/2018 | 01/2022 |
| Direct Advisors, Llc | Latham | NY | 02/2022 | Present |
| Global Retirement Partners, Llc | San Rafael | CA | 09/2022 | Present |
| Hub International Inc. | Chicago | IL | 09/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-05-23 |
| S63 | Uniform Securities Agent State Law Examination | 2014-06-09 |
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