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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2022-06-06 |
Branch Locations
220 White Plains Road Suite 425, Tarrytown, NY 10591 • 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 |
|---|---|---|---|---|
| Fusion Financial Group | Elmsford | NY | 10/2003 | 06/2022 |
| Kestra Investment Services, Llc | Tarrytown | NY | 04/2016 | 06/2022 |
| Kestra Advisory Services, Llc. | Tarrytown | NY | 04/2016 | 06/2022 |
| Commonwealth Financial Network | Waltham | MA | 06/2022 | Present |
| Westchester Financial Advisors | Tarrytown | NY | 06/2022 | Present |
1. Fixed insurance sales; as of 6/6/2022, 1% of time spent during business hours; Conducted at branch location; Investment related. 2. Co-owner, Berkowitz, Herkert & Associates, LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 11/10/2003; 1% of time spent during business hours; Conducted at branch; Investment related. 3. Co-owner & Member, BHB Advisors, LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 5/01/2016; 1% of time spent during business hours; Conducted at branch; Investment related. 4. Owner, RJ Berk Advisors, Inc.; a private entity established to facilitate advisory business; as of 01/03/2024; 90% of time spent during business hours; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-10-23 |
| S63 | Uniform Securities Agent State Law Examination | 1992-09-04 |
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