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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 | 2021-07-27 |
Branch Locations
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 |
|---|---|---|---|---|
| First Niagara | Amsterdam | NY | 06/2003 | 09/2016 |
| Lpl Financial Llc | Charlotte | NC | 06/2010 | 09/2016 |
| Key Investment Services Llc | Albany | NY | 09/2016 | 02/2020 |
| Key Investment Services Llc | Cohoes | NY | 02/2020 | 03/2021 |
| Wells Fargo Clearing Services, Llc. | Sarasota Springs | NY | 03/2021 | Present |
TRUSTEE OF FATHER'S TRUST; INV. RELATED; PALATINE BRIDGE, NY; START DATE 3/29/2012; 1 HR PER MONTH; 0 HRS DURING TRADING; DUTIES: TRUSTEE OF FAMILY TRUST. TOWN OF PALATINE, NY ETHICS COMMITTEE; NOT INV. RELATED; PALATINE, NY; BOARD MEMBER; START DATE: 1/2022; 1 HR PER MONTH; 0 HRS DURING TRADING; DUTIES: ATTEND MEETINGS, INVESTIGATE AND RULE ON POTENTIAL CONFLICTS OF INTERESTS WITH THE TOWN OF PALATINE EMPLOYEES OR ELECTED OFFICIALS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-12-18 |
| S63 | Uniform Securities Agent State Law Examination | 1991-07-29 |
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