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3945 Freedom Circle, Santa Clara, CA 95054 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2026-08-27 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Purshe Kaplan Sterling Investments | Albany | NY | 01/2016 | 04/2018 |
| Beirne Wealth Consulting Services, Llc | Shelton | CT | 01/2016 | 05/2018 |
| Dynasty Securities, Llc | New York | NY | 05/2018 | 01/2019 |
| Dynasty Financial Partners, Llc | New York | NY | 05/2018 | 01/2019 |
| Principle Wealth Partners Llc | Madison | CT | 02/2019 | 09/2019 |
| Hightower Securities Llc | Chicago | IL | 10/2020 | 05/2021 |
| Hightower Advisors Llc | Chicago | IL | 10/2020 | 05/2021 |
| Tbradyllc, Dba Adviser2Ceo | Fairfield | CT | 09/2019 | 04/2022 |
| Assetmark Financial Holdings, Inc | Huntington | NY | 04/2022 | Present |
| Assetmark Brokerage, Llc | Huntington | NY | 04/2022 | Present |
| Assetmark, Inc | Huntington | NY | 04/2022 | Present |
| Edelman Financial Engines | Santa Clara | CA | 08/2026 | Present |
HR-4U, Inc. - Not Investment Related - HR-4U, Inc. -Volunteer Vice President & Board member of HR-4U, a 501(c)(3) nonprofit. Responsibilities include board governance, strategic planning, committee leadership, fundraising support, and advancing the organization's mission. No investment, securities, or financial planning activities. - Vice President, Board of Directors - Start Date 7/2026 - Spend approximately 6 hours/month , 0 hours during trading hours. - Attend board meetings; participate in governance, strategic planning, committee work, fundraising initiatives, and organizational oversight; provide strategic guidance and leadership; promote awareness of the organization's mission; review policies and organizational initiatives; fulfill fiduciary responsibilities as a nonprofit Board officer. Book and Podcast Projects - Not investment related - Author for own book or Contributing author in book collaborations through Amazon, podcast/radio interviews, social media- Author (The Dance to Independence), Featured author in book collaboration - Start date 10/2024 - Spend no more than 3 hours/month, 0 hours during securities trading hours. - writing book(s); promoting book(s) on podcast interviews and social media.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-09-14 |
| S63 | Uniform Securities Agent State Law Examination | 1994-01-25 |
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