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125 Froehlich Farm Blvd., Woodbury, NY 11797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2024-04-18 |
| TX | RA | APPROVED_RES | 2024-04-15 |
Branch Locations
125 Froehlich Farm Blvd., Woodbury, NY 11797 • United States
611 Rose Lane,, Bryn Mawr, PA 19010 • United States
3 disclosure categories 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 |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Philadelphia | PA | 03/2015 | 05/2020 |
| Aegis Capital Corp | Melville | NY | 07/2020 | 02/2024 |
| Kingswood Capital Partners | Bryn Mawr | PA | 02/2024 | 04/2024 |
| Kingswood Wealth Advisors | Bryn Mawr | PA | 02/2024 | 04/2024 |
| Vanderbilt Securities, Llc | Woodbury | NY | 04/2024 | Present |
| Vanderbilt Advisory Services | Woodbury | NY | 04/2024 | Present |
1) Stratosphere, LLC. Not investment related. Start date: 01/01/1999. Address: 611 Rose Lane, Bryn Mawr PA, 19010. Title: Author. Duties: Author of 2 finance books on alternative investments. Research consulting. Public speaking/book sales. Time spent during regular hours: 10%. 2) Wealth Devil, LLC. Not investment related. Start date: 11/16/2023. Address: 611 Rose Lane, Bryn Mawr PA, 19010. Title: Member. Duties: Entity used for accounting purposes. Time spent during regular hours: 5%.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-03-18 |
| S63 | Uniform Securities Agent State Law Examination | 1993-08-02 |
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