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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-10-11 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Halliday Financial, Llc | Albany | NY | 10/2013 | 03/2023 |
| City Of Albany Fire Department | Albany | NY | 05/2015 | Present |
| American Portfolios Financial Services Inc. | Holbrook | NY | 03/2023 | 10/2024 |
| Osaic Wealth, Inc. | Scottsdale | AZ | 10/2024 | Present |
1. Lieutenant/EMT FOR ALBANY CITY FIRE DEPT, NON INVESTMENT RELATED. ALBANY CITY FIRE, 26 BROAD ST. ALBANY, NY 12209. START DATE 5/7/2015 - 24-48 HOURS/WEEK TIME SPENT DURING TRADING HOURS WILL VARY BUT SHOULD RANGE BETWEEN 7.5 - 15 HOURS A WEEK. THE JOB ENTAILS FIRE SUPPRESSION AND ADMINISTER MEDICAL SERVICES. $100,000ANNUAL SALARY. 2. FCC Holdings, LLC. Not Investment Related. Shareholder in private placement. Start 4/2021. No hours will be spent on this activity. 3. ALBANY FIRE DEPARTMENT POSITION: Lieutenant NATURE: Government Service INVESTMENT RELATED: No NUMBER OF HOURS: 168 SECURITIES TRADING HOURS: 33 START DATE: 05/07/2015 ADDRESS: 26 BROAD ST., ALBANY NY 12209, United States DESCRIPTION: Provide emergency mitigation 4. NY BRAVEST FCU POSITION: Board Member NATURE: Federal Credit Union INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 07/15/2025 ADDRESS: 532 Central Avenue, Abany NY 12206, United States DESCRIPTION: Directors oversee the operations by setting policy, approving budgets and adopting rules and regulations I am not engaged in any of the following with this OBA: Acting as Registered Representative or Investment Advisor for the organization; this includes having discretionary authority for the organization's investment advisory accounts or being the representative of record on any brokerage account. ? Investment Advice: Providing advice to the organization or entity regarding investments through other individuals or entities. The advice must be presented to the Board by a sub-committee such as a finance committee. FPs and RAs are prohibited from solely providing advice to the entity/board. ? Having direct or indirect control over and/or custody of funds or securities for the organization including check writing Acting as Power of Attorney for the organization
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2015-05-24 |
| S66 | Uniform Combined State Law Examination | 2005-05-09 |
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