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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-08-02 |
| TX | RA | APPROVED | 2025-08-02 |
Branch Locations
915 Broadway Ground Floor, New York City, NY 10010 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wright Investors Service, Inc. | Greenwich | CT | 03/2015 | 07/2017 |
| Wright Private Asset Mgmt. Llc | Greenwich | CT | 06/2016 | 07/2017 |
| Bradford Smith | New York | NY | 07/2017 | 05/2018 |
| Northwestern Mutual Investment Services, Llc | New York | NY | 08/2017 | 05/2018 |
| Northwestern Mutual Wealth Management Company | New York | NY | 09/2017 | 05/2018 |
| Ameriprise Financial Services, Inc. | Rye Brook | NY | 05/2018 | 07/2025 |
| Ameriprise Financial Services, Llc | Rye Brook | NY | 03/2020 | 07/2025 |
| Rise Wealth Managment - Ameriprise Financial | Rye Brook | NY | 06/2018 | 07/2025 |
| Brad Smith Group - Northwestern Mutual | New York | NY | 08/2017 | 06/2018 |
| Wright Investors Service | Greenwich | CT | 03/2015 | 08/2017 |
| Charles Schwab & Co., Inc. | New York | NY | 07/2025 | Present |
| Schwab Wealth Advisory, Inc. | New York | NY | 07/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-06-14 |
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