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45 Braintree Hill Office Park Suite 201, Braintree, MA 02184 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| RI | RA | APPROVED | 2022-06-10 |
Branch Locations
51 Long Wharf Mall, Newport, RI 02840 • United States
45 Braintree Hill Office Park Suite 201, Braintree, MA 02184 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Prudential Financial Planning Services | Warwick | RI | 10/2012 | 02/2020 |
| Pruco Securities Llc | Warwick | RI | 10/2012 | 02/2020 |
| Pruco Securities, Llc. | Warwick | RI | 04/2020 | 06/2022 |
| Prudential Financial Planning Services | Warwick | RI | 04/2020 | 06/2022 |
| Unemployed | Lincoln | RI | 02/2020 | 04/2020 |
| Pallas Capital Advisors, Llc | Newport | RI | 09/2022 | Present |
| Purshe Kaplan Sterling Investments | Albany | NY | 08/2022 | 11/2023 |
| Purshe Kaplan Sterling Investments | Albany | NY | 01/2025 | Present |
1) Pallas Capital Advisors. Investment-related. At registered location. RIA. IAR. 9/2022. 160 hrs/month. 160 hrs during securities hrs. Manage client portfolios by taking into account economic outlook, portfolio allocation, and financial planning when needed. 2) Fixed Insurance. Not investment-related. At registered location. Fixed Insurance. Agent. 9/2022. 10 hrs/month. 10 hrs during securities hrs. Sell insurance/annuity products to help clients meet objectives.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-04-16 |
| S63 | Uniform Securities Agent State Law Examination | 2013-01-04 |
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