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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2024-07-03 |
Branch Locations
3257 Route 9 Ste 1, Saratoga Sprgs, NY 12866 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Unemployed | Ballston Spa | NY | 12/2023 | 04/2024 |
| Morgan Stanley | Saratoga Springs | NY | 03/2020 | 12/2023 |
| Ayco | Latham | NY | 09/2014 | 03/2020 |
| Joseph Anderson | Saratoga Springs | NY | 05/2024 | 06/2024 |
| Joseph Anderson | Saratoga Spgs | NY | 06/2024 | Present |
| Northwestern Mutual Investment Services Llc | Saratoga Spgs | NY | 06/2024 | Present |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 08/2024 | Present |
1. The Giving Circle , Not Investment-related, PO Box 3162, Saratoga Springs, NY, USA, 12866, President Board of Directors, Start Date: 06/01/2022, 25 hrs per week, 0 trading hrs per week, Non profit, Duties: Facilitate board meetings coordinate volunteers and sponsors fundraising public speaking to increase awareness create partnerships with other local non profits. 2. PRESIDENT/BOARD OF DIRECTORS, THE GIVING CIRCLE, PO BOX 3162, SARATOGA SPRINGS, , NEW YORK, 12866, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 6/1/2022, HOURS PER MONTH: 21-40, HOURS DURING SECURITIES TRADING HOURS: 0-5, FACILITATE BOARD MEETINGS; COORDINATE VOLUNTEERS AND SPONSORS; FUNDRAISING; PUBLIC SPEAKING TO INCREASE AWARENESS; CREATE AND MAINTAIN PARTNERSHIPS WITH OTHER LOCAL NON-PROFITS. non investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-07-20 |
| S63 | Uniform Securities Agent State Law Examination | 2015-10-30 |
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