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130 Lomond Ct, Utica, NY 13502 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-03-26 |
Branch Locations
133 Business Park Drive, Utica, NY 13502 • United States
130 Lomond Ct, Utica, NY 13502 • United States
133 Business Park Drive, Utica, NY 13502 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-05-30 |
Branch Locations
18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-26 |
| TX | RA | APPROVED | 2019-12-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Osaic Wealth, Inc. | New Hartford | NY | 11/1994 | Present |
| Paradigm Consulting, Incorporated | Utica | NY | 08/2007 | Present |
| D'ARcangelo Financial Group, Llc | Utica | NY | 02/2009 | 11/2021 |
| Empire Retirement Plans, Llc | Utica | NY | 01/2025 | Present |
1.AFFILIATED WITH PARADIGM CONSULTING, INC., AN INDEPENDENT RIA. EXECUTIVE VICE PRESIDENT. 133 BUSINESS PARK DRIVE, UTICA, NY 13502. INVESTMENT RELATED. RECOMMEND AND MONITOR INVESTMENTS FOR INDIVIDUALS, NON-PROFITS, RETIREMENT PLANS AND CORPORATIONS. MAIN BUSINESS FOCUS. 2. AFFILIATED WITH OSAIC WEALTH, INC. RIA. ONE WORLD FINANCIAL CENTER, 200 LIBERTY STREET, 15TH FLOOR, NEW YORK, NY 10281. INVESTMENT RELATED. RECOMMEND AND MONITOR INVESTMENTS FOR CLIENTS. 3. SELLS FIXED INSURANCE PRODUCTS (ANNUITY, LIFE) AS WELL AS HEALTH INSURANCE AND LONG-TERM CARE THROUGH PARADIGM CONSULTING, INC., AN INSURANCE AGENCY LICENSED IN NEW YORK STATE. 133 BUSINESS PARK DRIVE, UTICA, NY 13502. NOT INVESTMENT RELATED. 4. MARIE A. RUSSO INSTITUTE BOARD, BOARD MEMBER, WHICH IS THE FUNDRAISING BOARD OF THE NEIGHBORHOOD CENTER, INC. 293 GENESEE STREET, UTICA, NY 13501. NOT INVESTMENT RELATED. ATTEND MEETINGS AND PLAN FUND RAISING EVENTS. 5. 133 BUSINESS PARK DRIVE, LLC; NOT INVESTMENT RELATED; 133 BUSINESS PARK DRIVE, UTICA, NY 13502; MEMBER/MANAGER; SINCE 07/17/2013; 1-HR/MTH; 0 DURING SECURITY HOURS; COLLECTION OF LEASE PAYMENTS AND MAINTENANCE OF PROPERTY 6. THE WOMENS FUND OF HERKIMER AND ONEIDA COUNTY POSITION: member of Annie's Fund NATURE: Nonprofit INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2010 ADDRESS: 2 Williams St, Clinton NY 13323, United States DESCRIPTION: To review grant requests and give input to other committee members to determine who receives grant money. 7. EMPIRE RETIREMENT PLANS LLC POSITION: CEO NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 25 START DATE: 05/01/2025 ADDRESS: 130 Lomond Court, Utica NY 13502, United States DESCRIPTION: Retirement Plan Advisor
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-08-29 |
| S63 | Uniform Securities Agent State Law Examination | 1991-10-03 |
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