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Naples, FL • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2026-06-16 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Kentucky Trust | Louisville | KY | 03/2009 | Present |
| Luma Financial Technologies | Cincinnati | OH | 01/2020 | 06/2023 |
| Navian Asset Management, Llc | Naples | FL | 06/2025 | Present |
| Navian Capital Llc | Cincinnati | OH | 01/2011 | Present |
1) Navian Capital LLC, Cincinnati, OH, Investment-related, Consultant and Board Member, Hired to help CEO with business strategy and administrative issues, Start date: 01/2011, Approx. 10 hours Per Month are during securities trading hours, Navian Capital is a broker dealer that executes transactions for institutional investors. 2) First Kentucky Trust, Louisville, KY, Investment-related, Boutique trust and investment company, EVP - Chief Investment Officer, Start date: 3/2009, Approx. 40 hours per month 3) Luma Financial Technologies, LLC, Non-investment-related, Technology company that builds investment platforms for the exchange of information related to structured products. Consultant, Hired to help CEO with business strategy and administrative issues, Start date: 01/2024, Approx. 5 hours Per Month are during securities trading hours, 4) Stone Castle Advisors, LLC, Naples, FL, investment-related, Owner, Start date: 12/2025, 0 hours per month.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2005-01-21 |
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