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675 Third Avenue Suite 920, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2025-02-13 |
| NJ | RA | APPROVED | 2024-04-29 |
| NY | RA | APPROVED | 2022-05-06 |
| TX | RA | APPROVED | 2022-05-06 |
Branch Locations
675 Third Avenue Suite 920, New York, NY 10017 • United States
Jersey City, NJ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pruco Securities, Llc | White Plains | NY | 04/2016 | 07/2020 |
| The Prudential Insurance Company Of America | White Plains | NY | 04/2016 | 07/2020 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 07/2020 | 04/2021 |
| Northwestern Mutual Investment Services, Llc | Melville | NY | 07/2020 | 04/2021 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 08/2020 | 04/2021 |
| Ameritas Life Insurance Corp Of New York | New York | NY | 04/2021 | 02/2022 |
| Ameritas Investment Company, Llc | Lincoln | NE | 05/2021 | 02/2022 |
| Lumiere Financial Group Llc | New York | NY | 04/2021 | Present |
| Ameritas Advisory Services, Llc | Lincoln | NE | 05/2021 | 02/2022 |
| Purshe Kaplan Sterling Investments | Albany | NY | 08/2022 | 12/2025 |
1. InsureTech Brokerage LLC; Member/Owner; Fixed Insurance Brokerage; 11/30/2021, Investment Related; 675 3rd Avenue#920 New York, NY 10017; 40 Hours/Mo; 40 Hrs during trading hour; Manage the day-to-day operations _ 2. Independent Licensed Insurance Agent, 09/2012, Investment Related: Yes, Address: same as branch; Fixed Insurance _ 3. Forbes Councils; Investment related; 68 Harrison Ave Suite 605 Boston, MA 02111; Members-only community entrepreneurs & leaders; member/contributor; 8/1/2024; 1 hrs/mo; 1 hr during trading; Member of Forbes Councils._ 4. Brody Family Realty LLC. Investment related. 329 Shore Drive, Guilford, CT 06437. Holding company. Owner. Start date: 10/2025. 1 hr/month; during trading hours. Passive ownership only; no management authority, decision-making, or operational responsibilities.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-10-01 |
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