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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 | 2023-10-03 |
| CT | RA | APPROVED | 2020-02-21 |
| TX | RA | APPROVED | 2020-02-21 |
Branch Locations
1700 E Putnam Ave Ste 200, Old Greenwich, CT 06870 • United States
Chappaqua, NY • 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 |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc | Rye Brook | NY | 09/2011 | 02/2020 |
| Wells Fargo Advisors Financial Network, Llc | Old Greenwich | CT | 02/2020 | Present |
TEMPLE BETH EL, INV RELATED, CHAPPAQUA, NY, INVESTMENT ADVISORY COMMITTEE CHAIRMAN, START 3/1/2020, 10 HOURS PER MONTH, ZERO DURING TRADING, DEVELOPING AND ADVISING ON THE INVESTMENT POLICY OF THE TEMPLE. A&L CAPITAL MANAGEMENT, INC, INVT RELATED, CHAPPAQUA, NY, 100% OWNERSHIP, START DATE 1/1/2022, 5 HRS PER MONTH, 0 HRS DURING TRADING, BUSINESS AND EXPENSE MANAGEMENT OF FINANCIAL ADVISORY PRACTICE. SPICEHANDLER GP, LLC; INV RELATED; CHAPPAQUA, NY; 90% OWNERSHIP; START: 12/13/2024; 2 HOURS A MONTH; 0 HOURS DURING TRADING; MERCHANT AGREEMENT.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-10-14 |
| S63 | Uniform Securities Agent State Law Examination | 1998-10-01 |
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