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305 Spindrift Drive, Williamsville, NY 14221 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-01-06 |
Branch Locations
305 Spindrift Drive, Williamsville, NY 14221 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwest Savings Bank | Williamsville | NY | 11/2014 | 02/2017 |
| Cetera Investment Services Llc | St. Cloud | MN | 11/2014 | 09/2016 |
| Cetera Investment Advisers Llc | Williamsville | NY | 12/2014 | 09/2016 |
| Lpl Financial, Llc | Williamsville | NY | 02/2017 | 02/2017 |
| Peak Brokerage Services, Llc | Jupiter | FL | 02/2017 | Present |
| Blackridge Asset Management, Llc | Williamsville | NY | 03/2017 | 01/2025 |
| Independent Insurance Agent | Elma | NY | 02/2017 | Present |
| Independent Solutions Wealth Management, Llc | Williamsville | NY | 01/2025 | Present |
1) Business Entity: The Financial Guys; Business Activity: The Financial Guys; Duties of Position: Sales and market for service products; Title: Registered Rep; Start Date: 03/2017; Approx. # of hours per month spent on activity: 80; Approx. # of hours spent during trading hours: 72 2) Business Entity: Retirement Service Providers; Business Activity: Marketing and Sales of 401(k)s; Start Date: 06/2020; Duties of Position: Selling and marketing 401(k)s; Title: Registered Rep; Approx. # of hours per month spent on activity: 6; Approx. # of hours spent during trading hours; 4 3) Business Entity: Ronald Waskow; Business Activity: Insurance; Life, Health and P&C; Start Date: 03/2017; Duties of Position: Insurance Sales; Title: Agent; Approx. # of hours spent per month on activity: 25; Approx. # of hours spent during trading hours: 20 4) Business Entity: Independent Solutions Wealth Management, LLC; Business Activity: Investment Advisory; Start Date: 01/2025; Duties of Position: Investment Advisor Rep; Title: Investment Advisor Rep; Approx. # of hours per month spent on activity: 32; Approx. # of hours spent during trading hours: 28 5) Business Entity: Town of Elma Republican Committee; Business Activity: Town Commiteeman; Address: Elma, NY; Duties of Position: Go to Meetings/Fund Raisers; Title: Committeeman; Start Date: 03/2017; Approx. # of hour per month spent on activity: 4; Approx. # of hours spent during trading hours: .5
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-10-12 |
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