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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2023-08-10 |
| TX | RA | APPROVED_RES | 2023-08-10 |
Branch Locations
1800 Route 34 Bldg 2 Ste 201, Wall, NJ 07719 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Minnesota Life Insurance Company | St Paul | MN | 01/2005 | 08/2023 |
| Securian Financial Services Inc | St Paul | MN | 01/2005 | 08/2023 |
| Mid Atlantic Resource Group | Wall | NJ | 01/2005 | Present |
| Mid Atlantic Benefit Strategies | Wall | NJ | 01/2005 | Present |
| Cetera Wealth Services, Llc | Wall | NJ | 08/2023 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 08/2023 | Present |
| Margfinancial | Wall | NJ | 01/2021 | Present |
1) MID ATLANTIC RESOURCE GROUP & MID ATLANTIC BENEFITS STRATEGIES , FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2005 ADDRESS: SAME AS REGISTERED LOCATION, DESCRIPTION: Agent/Broker 2) FREEHOLD FIRE DEPT POSITION: Volunteer NATURE: Volunteer/Community Outreach INVESTMENT RELATED: No NUMBER OF HOURS: 24 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2001 ADDRESS: 49 West Main Street, Freehold NJ 07728, United States DESCRIPTION: Volunteer Firefigg 2, Ste 201, Wall, NJ 07719hter for the town of Freehold providing emergency services. I receive $1650 per year in a deferred compensation plan for my time served. 3) 407 SUMMER STREET LLC POSITION: Manager NATURE: Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 05/01/2021 ADDRESS: 163 Princeton Oval, Freehold NJ 07728, United States DESCRIPTION: 407 Summer Street, LLC is an LLC to hold a rental property in the state of Massachusetts. I am the sole manager of the LLC. The LLC of owned entirely by the Marsha Joan Niederman Irrevocable Trust, which is my mother's trust where I serve as a trustee. 4) MARSHA JOAN NIEDERMAN IRREVOCABLE TRUST POSITION: Trustee NATURE: Trustee INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/23/2010 ADDRESS: 112 Wimbledon Drive, West Yarmouth MA 02673, United States DESCRIPTION: I have been serving as a trustee on my mother's trust since it was created in 2010. I am also the financial advisor to the assets in the trust. The co-trustee is our family CPA, Brian Kipnis. 5) RENTAL PROPERTY POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2016 ADDRESS: 34-1 Whistler Drive, Freehold NJ 07728, United States DESCRIPTION: My wife and I rent a townhouse that we used to live in; 6) NAME OF OTHER BUSINESS: INDEPENDENCE SQUARE CONDO ASSOCIATION; INVESTMENT RELATED: NO; ADDRESS: 36 WHISTLER DR, FREEHOLD, NJ 07728; NATURE OF BUSINESS: HOA; START DATE: 8/2023; POSITION/TITLE/RELATIONSHIP: BOARD TRUSTEE; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: SERVE AS A TRUSTEE/BOARD MEMBER FOR CONDO ASSOCIATION; 7) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 10/2023, APX NUMBER OF HOURS PER WEEK: 5, APX NUMBER OF HOURS DURING TRADING HOURS: 5, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT , BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY AND LONG-TERM CARE; 8) NAME OF OTHER BUSINESS: MARGFINANCIAL INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 01/01/2021 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-06-09 |
| S63 | Uniform Securities Agent State Law Examination | 2005-02-11 |
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