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80 State Street, Albany, NY 12207 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-05-31 |
Branch Locations
80 State Street, Albany, NY 12207 • United States
North Palm Beach, FL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Metlife Securities | Middletown | NY | 05/2009 | 03/2017 |
| Mml Investors Services, Llc | Shelton | CT | 03/2017 | 06/2019 |
| Unemployed | Middletown | NY | 06/2019 | 12/2020 |
| Purshe Kaplan Sterling Investments | Albany | NY | 12/2020 | Present |
| Cl Wealth Management Llc | Albany | NY | 12/2020 | Present |
(1)Name: Camp Wishe Farm Inv rel: Y Add: 6 Wishe Cir Middletown NY 10940 Nature: Other Position: Bookkeeper Start date: 06/2001 No. HR/MO: 1 No. HR/MO during sec trading: 0 Describe duties: Bookkeeper for Camp Wishe Farm - horse boarding facility. (2)Name: Werner Wabnig Tr, father; A. Nina Wishe-Wabnig Stearns Tr, mother; Inv rel: Y Add: : 6 Wishe Cir Middletown NY 10940 Nature: Trustee for family trust accounts Position: Trustee Start date: 10/2014 No. HR/MO: 1 No. HR/MO during sec trading: 0 Describe duties: Trustee for family trust accounts
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-01-23 |
| S63 | Uniform Securities Agent State Law Examination | 1994-01-20 |
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