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40 Wall Street, New York, NY 10005 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-10-04 |
Branch Locations
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 |
|---|---|---|---|---|
| Axa Advisors, Llc | New York | NY | 03/2005 | 06/2020 |
| Equitable Advisors, Llc | New York | NY | 03/2005 | 09/2022 |
| Cathay Securities, Inc. | New York | NY | 11/2022 | Present |
| Next Gen Advisors,Llc | New York | NY | 06/2023 | Present |
| Blue Diamond Securities Of America Llc | New York | NY | 02/2026 | Present |
Z Force, LLC. non-investment 35 Peppermill Lane Dix Hills NY11746 compliance consultant, Owner, 11/06/2023 (20 hours) provide BD/RIA compliance support. Next GEN Advisors, LLC. 40 Wall Street ste. 3600 NY, NY 10005, Chief Executive Officer & Chief Compliance Officer, 06/22/2023 (20 hours) Investment Related. Z Force Capital Holdings, LLC. non-investment 35 Peppermill Lane Dix Hills NY11746 holding company for my shares of Z Force LLC and Next GEN Advisors LLC, Sole Owner, 05/06/2026 (10 hours). NOW AFRICA GP LLC & NOW AFRICA HOLDINGS LLC, start up private equity firm, investment related, address tbd 35 Peppermill Lane Dix Hills, NY, private equity fund targeting investments in solar, data centers, mining infrastructure, General Partner, 10-15 hours. Oversee investment allocation and risk management.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-11-19 |
| S63 | Uniform Securities Agent State Law Examination | 2005-02-24 |
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