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125 Froehlich Farm Blvd., Woodbury, NY 11797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2025-01-13 |
| TX | RA | APPROVED_RES | 2025-01-10 |
Branch Locations
125 Froehlich Farm Blvd., Woodbury, NY 11797 • United States
Golden, CO • 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 |
|---|---|---|---|---|
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 07/2017 |
| Wells Fargo Clearing Services, Llc | Denver | CO | 07/2017 | 01/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Boulder | CO | 01/2022 | 09/2024 |
| Bank Of America, N.A. | Boulder | CO | 02/2022 | 12/2024 |
| Vanderbilt Finanical Group | Woodbury | NY | 01/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-06-04 |
| S63 | Uniform Securities Agent State Law Examination | 1994-01-21 |
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