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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-06-09 |
| NC | RA | APPROVED | 2026-06-03 |
| SC | RA | APPROVED | 2026-06-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Teugega Country Club | Rome | NY | 06/2016 | 10/2019 |
| Axa Equitable | Charlotte | NC | 12/2019 | 12/2019 |
| Chatham Street Advisors | Rome | NY | 06/2019 | 08/2019 |
| Ubs Financial Services, Inc. | Charlotte | NC | 01/2020 | 03/2022 |
| Lpl Financial, Llc | Fort Mill | SC | 06/2023 | 05/2026 |
| Fta Embroidery Charlotte | Charlotte | NC | 03/2022 | 06/2023 |
| Mml Investors Services, Llc | Greenville | SC | 05/2026 | Present |
| Massmutual Life Insurance Co | Greenville | SC | 05/2026 | Present |
| Utica College | Utica | NY | 05/2019 | 12/2020 |
| Utica College | Utica | NY | 09/2016 | 05/2019 |
Name: East Coast Vend Inv Rel: N Add: N Nature: Vending Machine Position: Owner Start Date: 05/15/2025 No. Hr/Mo: 0-1 No. Hr/Mo During Sec Trading: 0 Duties: Fill vending machine, service if out of order.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-07-24 |
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