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125 Froehlich Farm Blvd., Woodbury, NY 11797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2020-10-30 |
Branch Locations
125 Froehlich Farm Blvd., Woodbury, NY 11797 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Kms Financial Services, Inc | Seattle | WA | 10/2009 | 10/2020 |
| Ark Financial | Twisp | WA | 01/2008 | Present |
| Vanderbilt Securities, Llc | Woodbury | NY | 10/2020 | Present |
| Vanderbilt Advisory Services | Woodbury | NY | 10/2020 | Present |
(1)ARK FINANCIAL -VARIOUS INSURANCE COMPANIES - INVESTMENT RELATED - SAME ADDRESS - INSURANCE - CONTRACTOR/AGENT - 70 HRS/MO - 20 HRS/MO DURING TRADING - SALES AND SERVICE OF DISABILITY, TERM, GROUP AND OTHER INSURANCE PRODUCTS. ADDRESS: 10 SURFACE LANE TWISP WA, 98856 (2)CASCADIA MUSIC LOCATED AT 10 SURFACE LANE, TWISP, WA 98856. START DATE: 02/01/2022, POSITION: BOARD PRESIDENT. NOT INVESTMENT RELATED. NATURE: NONPROFIT FACILITATING MUSIC INSTRUCTION ON CLASSICAL INSTRUMENTS, SPONSORING CHORAL AND ORCHESTAL CONCERTS, SPONSORING AMATEUR AND PROFESSIONAL MUSICIANS IN CONCERTS AND MASTERCLASSES. DUTIES: DEVELOP BY-LAWS, POLICIES AND PROCEDURES, HELP DEVELOP AND OVERSEE PROGRAMS IN FUNDRAISING, OVERSEE EDUCATION, SCHOLARSHIP, PROGRAMMING AND FUNDRAISING COMMITTEES, AND DEVELOP STRATEGIC AND ANNUAL PLANS. APPROXIMATELY 18 HOURS PER MONTH. 3)
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-06-28 |
| S63 | Uniform Securities Agent State Law Examination | 1994-02-11 |
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