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730 Third Avenue, New York, NY 10017-3206 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-10-17 |
| AL | RA | APPROVED | 2025-10-16 |
| VT | RA | APPROVED | 2025-10-16 |
| NJ | RA | APPROVED | 2024-06-24 |
| NY | RA | APPROVED | 2023-02-16 |
Branch Locations
730 Third Avenue Nyc Regional, New York, NY 10017 • United States
Caldwell, NJ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Vanguard Marketing Corporation | Malvern | PA | 06/2021 | 11/2021 |
| Valley Bank | Wayne | NJ | 06/2019 | 12/2019 |
| Mlb Network | Seacaucus | NJ | 05/2018 | 08/2018 |
| Seton Hall Preparatory School | West Orange | NJ | 09/2013 | 05/2017 |
| Saint Joseph's University | Philadelphia | PA | 08/2017 | 05/2021 |
| Saint Joseph's University | Philadelphia | PA | 01/2021 | 05/2021 |
| Hennion & Walsh, Inc. | Boca Raton | FL | 12/2021 | 01/2023 |
| Hennion & Walsh Asset Management, Inc. | Boca Raton | FL | 12/2021 | 01/2023 |
| Tiaa | New York | NY | 02/2023 | Present |
| Tiaa-Cref Individual & Institutional Services, Llc | New York | NY | 02/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-07-01 |
| S63 | Uniform Securities Agent State Law Examination | 2022-04-04 |
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