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Current Employers
Vanderbilt Advisory Services

125 Froehlich Farm Blvd., Woodbury, NY 11797 • United States

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2020-10-30
  • WA RA
    APPROVED
    Since 2020-10-30

Branch Locations

Twisp, WA • United States

125 Froehlich Farm Blvd., Woodbury, NY 11797 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
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
  • 10/2009 → 10/2020
    Kms Financial Services, Inc
    Seattle, WA
  • 01/2008 → Present
    Ark Financial
    Twisp, WA
  • 10/2020 → Present
    Vanderbilt Securities, Llc
    Woodbury, NY
  • 10/2020 → Present
    Woodbury, NY
Previous Registrations
  • 2009-10-07 → 2020-10-30
    Kms Financial Services, Inc.
    Seattle, WA
    Twisp, WA
  • 2005-12-19 → 2009-10-16
    Walnut Street Securities, Inc.
    Bend, OR
    Stanwood, WA
  • 2004-04-06 → 2007-12-31
    Ford & Associates
    Camano Island, WA
Other Businesses

(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)

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-06-28
S63 Uniform Securities Agent State Law Examination 1994-02-11
  • S65 Uniform Investment Adviser Law Examination
    1997-06-28
  • S63 Uniform Securities Agent State Law Examination
    1994-02-11

View on SEC IAPD

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