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45 Broadway 19Th Floor, New York, NY 10006 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2024-05-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Worden Capital Management Llc | New York | NY | 02/2019 | 08/2019 |
| Worden Capital Management Llc | New York | NY | 08/2019 | 05/2020 |
| Unemployed | Brooklyn | NY | 06/2010 | 02/2019 |
| Mml Investors Services, Llc | New York | NY | 07/2020 | 02/2023 |
| Massmutual Life Insurance | New York | NY | 07/2020 | 02/2023 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 03/2023 | 05/2024 |
| Bank Of America, N.A. | New York | NY | 05/2023 | 05/2024 |
| Spartan Capital Securities, Llc | New York | NY | 05/2024 | Present |
I*1233422 For profit or not for profit: Entity Charitable Name of outside business organization: Emotions Matter Investment related: N Address of business: Garden City, New York, 11530, United States Nature of business: Charitable Organization Position, title, association: C0-Associate Director Start date of relationship: 1/1/2020 Number of hours devoted: 32-48 hourr(s) Monthly Number of hours devoted during trading hours: 20-30 range Duties: Emotions Matter supports people affected by Borderline Personality Disorder. Strategic Growth Operations. including fundraising, fiscal goverance, marketing, piblie relations, staff and volunteer management.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-12-26 |
| S63 | Uniform Securities Agent State Law Examination | 2019-10-02 |
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