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51 Madison Avenue 12Th Floor, New York, NY 10010 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-03-24 |
| TN | RA | APPROVED | 2024-07-09 |
Branch Locations
9724 Kingston Pike Franklin Square, Suite 1011, Knoxville, TN 37922 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| New York Life Insurance Company | Knoxville | TN | 12/2018 | Present |
| Nylife Securities Llc | Knoxville | TN | 05/2019 | Present |
| Self | Rockford | TN | 01/2017 | 07/2018 |
| Self | Rockford | TN | 07/2018 | 12/2018 |
| Cedar Bluff Dental Center | Knoxville | TN | 07/2015 | 12/2016 |
| Eagle Strategies Llc | Knoxville | TN | 07/2024 | Present |
| Harper Financial Group | Knoxville | TN | 03/2026 | Present |
[Knoxville Parent LLC; Owner; business is Dormant; Knoxville, TN; start date 02/2012; no hours, no compensation; not investment related; ceased operation in 2014.] [Chattanooga Parent LLC; Owner; Business is Dormant; Chattanooga, TN; no compensation; no hours; start date 08/2008; administratively dissolved in 2012] [Knoxville Opera Guild Board; President. The Knoxville Opera Guild operates within the Knoxville Opera Company. The Guild does not have its own 501(c)3, and serves to produce and host events designed to increase awareness of and support for the Knoxville Opera Company.; 612 East Depot Ave., Knoxville, TN 37917; Start Date 01/2019; Role/Title: Officer; Not Investment Related; 6 hours per month; 0 hours per month during securities trading hours;I am currently serving a two-year term as President of the board, which will end in June 2023, after which time I will continue as a board member. I help with planning, set up and managing various events throughout the Knoxville Opera's season. I chair various ad hoc committees throughout the season] [Shannondale ; I help lead hymns and sing special music for a retirement community. I participate on an as-needed basis and when my schedule allows. The retirement center pays $50.00 for each service to help offset travel and fuel costs.; Shannondale of Maryville 804 Shannondale Way, Maryville, TN 37803 and Shannondale of Knoxville 801 Vanosdale Road Knoxville TN 37909; Start Date 01/2021; Role/Title: Independent Contractor; Not Investment Related; 5 hours per month; 0 hours per month during securities trading hours] [Immaculate Conception Church; I serve as a replacement Cantor when the church Cantor is unable to. I am only asked occasionally, and only agree when my weekend schedule permits. I am compensated $75.00 per mass to help offset travel and fuel costs.; Immaculate Conception Church, 414 W. Vine Ave., Knoxville, TN 37902; Start Date 06/2023; Role/Title: Independent Contractor; Not Investment Related; 3 hours per month; 0 hours per month during securities trading hours][Knoxville Opera; not for profit performing arts organization that produces main stage operatic performances as well as other musical and educational community events.; 612 E. Depot Ave., Knoxville, TN 37917; Start Date 07/2025; Role/Title: Board Member; Not Investment Related; 3 hours per month; 0 hours per month during securities trading hours; general board member, participating in oversight and governance aimed at ensuring the continued success of the organization][University of Tennessee College of Music Board of Advisors; The board of Advisors meets quarterly to support the recognition and support for the university's College of Music through encouraging public participation and sponsorships to annual fundraising events.; 117 Natalie L. Haslam Music Center 1741 Volunteer Blvd. Knoxville, TN 37996-2600; Start Date 07/2026; Role/Title: Member; Not Investment Related; 1 hours per month; 0 hours per month during securities trading hours; development committee, which helps identify community members who might support the college through donations and/or sponsorships and help plan for fundraising and recognition events.][Insurance Brokering; APPOINTED WITH OUTSIDE INSURANCE CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED INSURANCE PRODUCTS; 9724 Kingston Pike, Franklin Square, Suite 1011, Knoxville, TN 37922; Start Date 03/2026; Role/Title: Insurance Broker; Investment Related; 5 hours per month; 5 hours per month during securities trading hours] [OPERATING UNDER THE DBA NAME OF HARPER FINANCIAL GROUP FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; (ASSOCIATE); (KNOXVILLE, TN); START DATE: 03/2026]
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-06-29 |
| S63 | Uniform Securities Agent State Law Examination | 2020-02-08 |
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