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60 Bunker Hill Road, Salisbury, CT 06068 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-04-26 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Shellback Pacific Inc | New York | NY | 01/2015 | 12/2018 |
| Enclave Capital Llc | New York | NY | 04/2016 | 07/2019 |
| Usq Securities | New York | NY | 07/2019 | Present |
| Economic Index Associates Llc | New York | NY | 11/2018 | Present |
| Union Square Capital Advisors Llc | New York | NY | 01/2015 | Present |
| Eia Investments Llc | New York | NY | 06/2021 | Present |
Economic Index Associates LLC; 575 5th Avenue, Level 14, New York, NY, 10017; December 2018; Owner/Officer; Economic Index Associates (EIA) is a licensor of indexes on different asset classes.; Executive Director with responsibilities for index development, maintenance and business development.; 20 hours per week. Union Square Capital Advisors LLC (USQA); 575 5th Avenue, Level 14, New York, NY, 10017; December 2018; Owner/Officer; USQA provides consulting services and management services to a wide range of companies in different sectors.; Managing Director with responsibilities for consulting services.; 20 hours per week. IRIS Metals; 9-11 Claremont Street, South Yarra 3141, Victoria, Australia; Non-Investment Related; February 2025, Director/Consultant; IRIS Metals is a junior mining company listed on the ASX, progressing in lithium mine in South Dakota.; 30% of time per week. Duties: (a) the specified duties set out in Schedule 1; (b) reviewing all Board papers ahead of Board meetings; (c) bringing independent judgment to bear on issues of strategy, performance, present and future availability and utilization of resources and standards of conduct as well as challenging management and holding them to account; (d) sharing responsibility with the other Directors for the effective control of the Company, and with the other non-executive Directors for the appointment of the Managing Director and Chief Executive Officer and the superintendence of Executive management; (e) constructively challenging and helping to develop proposals on strategy of the Company; (f) setting values and standards for the Company and establishing systems for its communication and monitoring; (g) monitoring the performance of management in meeting agreed goals and objectives and ensuring that the necessary financial and human resources are in place to enable the Company to meet those goals and objectives; (h) being familiar with the corporate governance policies and principles which have been adopted by the Board, and taking a leadership role in ensuring these remain current and effective; (i) satisfying yourself as to the adequacy and integrity of financial and other reporting to the board and shareholders and that there are adequate systems of internal control; (j) satisfying yourself that systems for identification and management of risks are robust and appropriate; and (k) making yourself available, if called upon, to serve as a member of committees established by the Board. At Union Square Capital Advisors we advise companies on supply chains and provide management teams to assist start-up companies. We receive retainers, consulting fees, success fees and equity. I am entitled to 20% of the income derived from sales to new clients.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-02-24 |
| S63 | Uniform Securities Agent State Law Examination | 2016-05-05 |
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