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One Financial Plaza 26Th Floor, Hartford, CT 06103 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2023-01-23 |
Branch Locations
31 West 52Nd Street 16Th Floor, New York, NY 10019 • United States
One Financial Plaza 26Th Floor, Hartford, CT 06103 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Phx Financial, Inc | New York | NY | 01/2016 | 02/2017 |
| Wells Fargo Clearing Services Llc | Melville | NY | 02/2017 | 03/2019 |
| Neuberger Berman | New York | NY | 03/2019 | 12/2021 |
| Virtus Investment Partners | New York | NY | 01/2023 | Present |
| Vp Distributors Llc | New York | NY | 01/2023 | Present |
| Unemployed | Valley Stream | NY | 01/2022 | 01/2023 |
1) NAME: EVO B LLC; NOT INVESTMENT RELATED; ADDRESS: 2 SOUTH EVERETT STREET, VALLEY STREAM, NY 11580; NATURE OF OTHER BUSINESS: REAL ESTATE; POSITION: OWNER; START DATE: 01/01/2021; 5 HRS/MONTHLY DEVOTED TO OTHER BUSINESS; 0 HRS DEVOTED TO OTHER BUSINESS DURING SECURITIES TRADING HOURS; DUTIES: MANAGMENT OF PROPERTIES; COORDINATION OF REPAIRS; MAINTENANCE OF BUSINESS RECORDS; 2) NAME: EVO B LLC d/b/a SMOKEHOUSE SENSEI; NOT INVESTMENT RELATED; ADDRESS 2 SOUTH EVERETT STREET, VALLEY STREAM, NY 11580; NATURE OF OTHER BUSINESS: PRIVATE EVENT HOSPITALITY SERVICES & ONLINE RETAIL STOREFRONT; POSITION: OWNER; START DATE: 01/01/2021; 20 HRS/MONTHLY DEVOTED TO OTHER BUSINESS; 0 HRS DEVOTED TO OTHER BUSINESS DURING SECURITIES TRADING HOURS; DUTIES: COORDINATION OF CLIENT EVENTS; MARKETING; SALES;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-05-05 |
| S63 | Uniform Securities Agent State Law Examination | 2015-06-27 |
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