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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-06-14 |
| TX | RA | APPROVED_RES | 2024-06-14 |
Branch Locations
1200 Jefferson Road, Ste 200, Rochester, NY 14623 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Syracuse | NY | 03/2016 | 03/2019 |
| Bank Of America, N.A. | Syracuse | NY | 10/2016 | 03/2019 |
| Securities America, Inc. | Rochester | NY | 03/2019 | 06/2024 |
| Securities America Advisors, Inc. | Rochester | NY | 03/2019 | 06/2024 |
| Osaic Wealth, Inc. | Rochester | NY | 06/2024 | Present |
1. ESTATE & FINANCIAL PLANNING ASSOCIATES (DBA) POSITION: Registered Representative NATURE: Insurance Sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 04/01/2019 ADDRESS: 1200 Jefferson Rd, Suite 200, Rochester NY 14623, United States DESCRIPTION: Insurance Sales 2. ESTATE & FINANCIAL PLANNING ASSOCIATES POSITION: Registered Representative NATURE: Advisory Business Title: Securities America Advisors INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 80 START DATE: 04/01/2019 ADDRESS: 1200 Jefferson Rd, Suite 200, Rochester NY 14623, United States DESCRIPTION: Registered Representative - financial planning 3. ESTATE & FINANCIAL PLANNING ASSOCIATES POSITION: Registered Representative NATURE: Insurance Sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 04/01/2019 ADDRESS: 1200 Jefferson Rd, Suite 200, Rochester NY 14623, United States DESCRIPTION: Insurance Sales 4. ESTATE PLANNING SOLUTIONS LLC POSITION: President NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 140 START DATE: 01/12/2026 ADDRESS: 1200 Jefferson Rd Suite 200, Rochester NY 14623-3158, United States DESCRIPTION: My business partner and I created this LLC to make future succession planning seamless. We will also have any of our fee based investment advisory proceeds paid to our LLC. 5. KMW ESTATE PLANNING ASSOCIATES LTD POSITION: President NATURE: Subchapter S Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 140 START DATE: 01/12/2026 ADDRESS: 1200 Jefferson Rd Suite 200, Rochester NY 14623-3158, United States DESCRIPTION: General maintenance of the S Corporation
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-09-14 |
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