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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2020-10-20 |
Branch Locations
6059 Terrace Road Sw, Sherrodsville, OH 44675 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 08/2012 | 10/2020 |
| Northwestern Mutual Investment Services, Llc | Canton | OH | 05/2013 | 10/2020 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WA | 03/2017 | 10/2020 |
| Guardian Life Insurance Company | Beachwood | OH | 10/2020 | 10/2020 |
| Park Avenue Securities | Beachwood | OH | 10/2020 | 10/2020 |
| Guardian Life Insurance | Sherrodsville | OH | 10/2020 | Present |
| Park Avenue Securities | Sherrodsville | OH | 10/2020 | Present |
1. OIL AND GAS RIGHTS ON PROPERTY/100% Owner, ADDRESS: 7553 HILLTOP ST SW, CARROLLTON, OHIO, 44615 UNITED STATES, START DATE: 8/1/2016, NUMBER OF HOURS PER MONTH AND NUMBER OF HOURS DURING NORMAL BUSINESS HOURS: 0,0, INVESTMENT RELATED: YES, 2. :LIGGETT FARMS LLC/ 10% OWNER, ADDRESS:3290 PLEASANT VALLEY RD SE, DENNISON, OHIO, 44621 UNITED STATES, START DATE: 05/07/2018, NUMBER OF HOURS PER MONTH AND NUMBER OF HOURS DURING NORMAL BUSINESS HOURS: 1,1, INVESTMENT RELATED: NO, 3. Rental Properties/ 100% OWNER, ADDRESS: 6240 ROSWELL RD SW, SHERRODSVILLE,OHIO,44675, UNITED STATES, START DATE:04/27/2018, NUMBER OF HOURS PER MONTH AND NUMBER OF HOURS DURING NORMAL BUSINESS HOURS: 0,0, INVESTMENT RELATED: YES, 4. Outside Insurance Activities, ADDRESS: 6059 Terrace RD SW Sherrodsville, Oh 44675, START DATE: 10/01/2013, NUMBER OF HOURS PER MONTH AND NUMBER OF HOURS DURING NORMAL BUSINESS HOURS: 2,2, INVESTMENT RELATED: NO, 5) Zoar View Land Holdings LLC-real estate, Start date: 08/19/2021, Address: 7905 Dover Zoar Rd NE Dover, Ohio 44622, 2 total hour per month; 2 during securities trading hours, Investment related, No annual compensation, 6) Liggett Properties LLC-owner/president, Start date: 08/19/2019, Address: 6059 Terrace Rd SW Sherrodsville, Ohio 44675, 2 total hour per month; 0 during securities trading hours, Investment related, Less than 10% annual compensation, 7) Liggett Business Management, Inc.-Management of my multiple entities listed in my OBA, Start date: 11/19/2020, Address: 6059 Terrace Rd SW Sherrodsville, Ohio 44675, 0 total hour per month; Investment related, No annual compensation, 8) Power of Attorney-spouse, Start date: 06/15/2021, Address: 6059 Terrace Rd SW Sherrodsville, Ohio 44675, 0 total hour per month; Not investment related, No annual compensation, 9) Liggett Financial, Inc.-owner, Start date: 11/19/2020, Address: 6059 Terrace Rd SW Sherrodsville, Ohio 44675, 200 total hour per month; 150 during securities trading hours, Investment related, More than 10% annual compensation,
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2014-12-13 |
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