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405 Lexington Ave Suite 37A, New York, NY 10174 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-02-14 |
Branch Locations
405 Lexington Avenue Suite 37A, New York, NY 10174 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Northstar Group, Inc. | New York | NY | 09/2013 | Present |
| Royal Alliance | New York | NY | 10/2013 | Present |
1. THE NORTHSTAR GROUP, INC. POSITION: Registered Representative NATURE: RIA, sub S corp INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 200 START DATE: 09/24/2013 ADDRESS: 405 Lexington Avenue, Ste. 37A, New York NY 10174, United States DESCRIPTION: Chief Compliance Officer, Operations, Investment Research, Assist clients with phone inquiries, Financial Advisory 2. JOSHUA GARCIA MUSIC POSITION: musician/songwriter NATURE: Sole Proprietorship: I am a writer and performer of original music. I perform under my name, Joshua Garcia. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 09/10/2017 ADDRESS: 412 15th Street, Apt 2, Brooklyn NY 11215, United States DESCRIPTION: I am a writer and performer of original music. I perform under my name, Joshua Garcia.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-04-04 |
| S63 | Uniform Securities Agent State Law Examination | 2012-12-10 |
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