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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-07-10 |
| CT | RA | APPROVED | 2025-02-21 |
Branch Locations
68 S Service Rd Ste 200 [C1-Rbo], Melville, NY 11747 • United States
781 Main St, Plantsville, CT 06479 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| New York Life | Windsor | NY | 07/2022 | 05/2024 |
| Major League Baseball | New York | NY | 02/2022 | Present |
| Self Employed | East Hampton | CT | 06/2018 | 07/2022 |
| Ipg Photonics | Dudley | MA | 05/2017 | 06/2018 |
| United States Coast Guard | Staten Island | NY | 08/2002 | 05/2017 |
| Nylife Securities Llc | Windsor | NY | 07/2023 | 05/2024 |
| The Prudential Insurance Company Of America | Glastonbury | CT | 06/2024 | 01/2025 |
| Pruco Securities Llc | Glastonbury | CT | 06/2024 | 11/2024 |
| Lpl Enterprise, Llc | Glastonbury | CT | 11/2024 | 01/2025 |
| Wells Fargo Clearing Services, Llc | Plantsville | CT | 02/2025 | Present |
| Wells Fargo Bank, Na | Plantsville | CT | 01/2025 | Present |
MAJOR LEAGUE BASEBALL; NOT INV RELATED; NEW YORK, NY; JUNIOR SUPPORT; 02/2022; 15 HOURS PER MONTH; NO HOURS DURING TRADING; PROFESSIONAL BASEBALL ORGANIZATION| FINRA ARBITRATOR; NOT INV RELATED; WASHINGTON, DC; ARBITRATOR; START DATE 06/30/2025; 15 HOURS PER MONTH; 0 HOURS DURING TRADING | TOWN OF EAST HAMPTON; NOT INV RELATED; EAST HAMPTON, CT; BOARD OF FINANCE MEMBER; 11/2025; 2 HOURS PER MONTH; 0 DURING TRADING; OVERSEE FINANCES OF TOWN
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-02-20 |
| S63 | Uniform Securities Agent State Law Examination | 2023-09-20 |
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