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125 Froehlich Farm Blvd., Woodbury, NY 11797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2023-04-12 |
Branch Locations
125 Froehlich Farm Blvd., Woodbury, NY 11797 • United States
Windsor, NJ • 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 |
|---|---|---|---|---|
| Guinness Atkinson Asset Mgmt | Woodland Hills | CA | 06/2013 | 11/2017 |
| Foreside Fund Services, Llc | Morganville | NJ | 07/2016 | 10/2017 |
| Job Hunter | Deerfield | NJ | 11/2017 | 02/2018 |
| Ark Global Llc | Wellesley Hills | MA | 03/2018 | Present |
1) Vanderbilt Securities, LLC. Investment Related. Start date: 04/03/2023. Address; 906 Jamestown Rd. East Windsor NJ, 08520. Title: Investment Product Manager. Duties: The product manager is responsible for the coordination & communication of investment products available on the VFG platform to Advisors affiliated with any VFG-affiliated entity. This role is part-time with an anticipated commitment of 10 hours per week on average, stewarding new investment product from VFG Product Due Diligence Committee review through Advisor education and onboarding.. Time spent during regular hours: 25%. 2) Brant T. Wagner. EstateGuru. Not investment related. Start date: 11/11/2024. Address: 906 Jamestown Rd. East Windsor NJ, 08520. Title Individual. Duties: I will be calling on Independent Registered Investment Advisor firms, introducing them to EstateGuru's estate planning solution. I will receive no compensation from EstateGuru for new subscriptions. I will receive a percentage (85%) of the compensation paid to Brant T. Wagner for new plans completed by Independent RIAs that I call on and introduce to EstateGuru. Time spent during regular hours: 10%. 3) True Gritt LTD dba Vanderbilt Financial Group. Not investment-related. Start date: 04/12/2023. Address: 125 Froehlich Farm Blvd, Woodbury, NY 11797. Duties: Marketing name/payroll/compensation.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-04-10 |
| S63 | Uniform Securities Agent State Law Examination | 2005-07-11 |
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