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2725 Colonial Ave, Erie, PA 16506 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2023-10-24 |
| NY | RA | APPROVED | 2021-08-02 |
Branch Locations
33 Church Street 2Nd Floor, Fredonia, NY 14063 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 07/2012 | 03/2018 |
| Northwestern Mutual Investment Services, Llc | Pittsburgh | PA | 02/2013 | 03/2018 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 04/2016 | 03/2018 |
| Purshe Kaplan Sterling Investments, Inc | Albany | NY | 03/2018 | 12/2020 |
| Hbks Wealth Advisors | Fredonia | NY | 03/2018 | Present |
| Hbk Sorce Insurance | Fredonia | NY | 03/2018 | Present |
1. HBK Sorce Insurance. Investment Related. Address on file. Insurance Sales. Insurance Agent. 03/2018. 160 Hrs/Mo; All During Trading Hours. Insurance Agent. 2. Chautauqua County Community Center. No. 4840 W Lake Rd, Chautauqua, NY 14722. Community Center. Board Member. 01/2026. 1 hr per month/0 hrs during trading. Serve on board to assist with decision making.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-06-07 |
| S63 | Uniform Securities Agent State Law Examination | 2013-10-24 |
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