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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-02-12 |
| KY | RA | APPROVED | 2024-11-11 |
Branch Locations
4969 Us Highway 42 Suite 1200, Louisville, KY 40222 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Securities America, Inc. | Jeffersonville | IN | 05/2016 | 11/2017 |
| Securities America Advisors | Jeffersonville | IN | 08/2016 | 11/2017 |
| Unemployed | Louisville | KY | 12/2017 | 01/2018 |
| Mitchell Barnes | Louisville | KY | 01/2018 | 04/2018 |
| Aaron Young | Louisville | KY | 01/2018 | 04/2018 |
| Northwestern Mutual Investment Services Llc | Louisville | KY | 01/2018 | 04/2018 |
| Riverbend Financial Group | Jeffersonville | IN | 04/2016 | 11/2017 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 03/2018 | 04/2018 |
| Gwfs Equities, Inc | Greenwood Village | CO | 04/2018 | 06/2021 |
| Nationwide Securities, Llc | Columbus | OH | 06/2021 | 10/2024 |
| Self-Employed | Louisville | KY | 05/2019 | Present |
| Morgan Stanley Smith Barney Llc | Louisville | KY | 10/2024 | Present |
(1) 616326 - Chloe's Wedding Concepts, LLC; Investment Related; Louisville, KY; Event Planning, Event Services, Event Gifts and Handmade Goods.; Partner; Start May 2019; During business hours: 0; After business hours: 3; Accounting, Bookkeeping, Labor, Service. (2) 616320- Stuck & Company LLC; Investment Related; Louisville, KY; Real Estate; Partner; Start May 2022; During business hours: 0; After business hours: 3; Accounting, Bookkeeping, Administrative.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-07-08 |
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