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3750 Park East Dr Ste 200, Beachwood, OH 44122 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-08-01 |
| CT | RA | APPROVED | 2022-05-16 |
| TX | RA | APPROVED | 2022-05-16 |
Branch Locations
109 Danbury Road Ste 4, Ridgefield, CT 06877 • United States
Ridgefield, CT • United States
800 Westchester Ave Suite N-641, Rye Brook, NY 10573 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Larchmont | NY | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Larchmont | NY | 11/2016 | 06/2018 |
| Lpl Financial Llc | Purchase | NY | 06/2018 | Present |
| Stratos Wealth Partners, Ltd | Danbury | CT | 05/2022 | Present |
1.09/20/2019; Jackson National; Non-Variable Insurance; Investment Related; at Reported Business Location(s); Start Date 08/19/2019; 1hrs/mth; 1hrs during trading 2.09/14/2021; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Vantage Wealth; Investment Related; at Reported Business Location(s); Start Date 09/03/2021; 1000hrs/mth; 800hrs during trading 3.11/09/2021; Ridgefield Volunteer Fire Department; Other - Volunteer Firefighter; Not Investment Related; Ridgefield Volunteer Fore Dept 6 Catoonah St Ridgefield,CT; Start Date 11/01/2021; 10hrs/mth; 0hrs during trading 4.03/14/2022; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Vantage Wealth Management; Investment Related; at Reported Business Location(s); Start Date 09/03/2021; 1000hrs/mth; 800hrs during trading 5.03/15/2023; empire wealth strategies / penn mutual; Non-Variable Insurance; Investment Related; at Reported Business Location(s); Start Date 03/01/2023; 2hrs/mth; 0hrs during trading 6.03/30/2023; (Hybrid) Vantage Wealth Management; Registered Investment Advisor DBA; Investment Related; at Reported Business Location(s); Start Date 05/20/2022; 160hrs/mth; 40hrs during trading; 7.03/30/2023; (Hybrid) Stratos Wealth Partners / Stratos Wealth Partners; Registered Investment Advisor Hybrid; Investment Related; at Reported Business Location(s); Start Date 05/20/2022; 160hrs/mth; 40hrs during trading; I provide investment advisory services through Stratos Wealth Partners, an independent investment advisor firm. I started this business activity in 5/2022. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 8.07/30/2026; Synchronize DBA Lockton Affinity; Non-Variable Insurance; Investment Related; at Reported Business Location(s); Start Date 01/13/2020; 1hrs/mth; hrs during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-02-12 |
| S63 | Uniform Securities Agent State Law Examination | 2005-08-15 |
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