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309 Smithfield Street 6Th Floor, Pittsburgh, PA 15222 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WV | RA | APPROVED | 2021-07-22 |
| OH | RA | APPROVED | 2021-07-09 |
| PA | RA | APPROVED | 2021-07-09 |
Branch Locations
309 Smithfield Street 6Th Floor, Pittsburgh, PA 15222 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Elm Capital Management Llc | Pittsburgh | PA | 01/2020 | Present |
| Eastern Financial Group, Inc Dba Elder Law Management | Pittsburgh | PA | 11/2015 | Present |
(1) 1/2020 Elm Capital Management LLC; Investment Related; Vice President/IAR; 309 Smithfield, Pittsburgh, PA 15222; 120hrs per hour/month; 65hrs during trading hours; Duties: Execute the Compliance Duties, Talk to Clients, Study Market, Analysis, Research, Trade, Evaluate Portfolio (2) 11/2015 Eastern Financial Group, Inc. DBA Elder Law Management; Investment Related; 11/2015 Account Management/Accounting/Tax Preparer 3/2020 CCO (Chief Compliance Officer) / IAR ; 309 Smithfield, Pittsburgh, PA 15222; 165hrs per hour/month; 65hrs during trading hours; Duties: Execute the Compliance Duties, Talk to Clients, Study Market, Analysis, Research, Trade, Evaluate Portfolio
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-09-28 |
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