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Account
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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2026-05-20 |
Branch Locations
1035 Oyster Bay Road Suite # 201, East Norwich, NY 11732 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Securities America, Inc. | Jericho | NY | 09/2003 | 06/2024 |
| Securities America Advisors, Inc. | Jericho | NY | 09/2003 | 06/2024 |
| Financial Associates Llc | Jericho | NY | 07/2006 | 02/2026 |
| Vertical Lend, Inc. | Melville | NY | 09/2003 | 02/2026 |
| S & S, Ltc. | Jericho | NY | 06/2005 | 02/2026 |
| First National Administrators | New Hyde Park | NY | 01/2004 | 02/2026 |
| Charter Financial Planning | Oyster | NY | 01/2023 | Present |
| Cetera Wealth Services, Llc | El Segundo | CA | 05/2026 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 05/2026 | Present |
| Osaic Wealth, Inc. | Oyster Bay | NY | 06/2024 | 02/2026 |
1. NAME OF OTHER BUSINESS: CHARTER FINANCIAL PLANNING INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL ADVISORY SERVICES START DATE: 01/2023 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 60 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: COMPREHENSIVE FINANCIAL PLANNING 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 05/1995 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS 3. NAME OF OTHER BUSINESS: OYSTER BAY RAILROAD MUSEUM BOARD INVESTMENT RELATED: NO ADDRESS: OYSTER BAY, NY NATURE OF BUSINESS: MUSEUM START DATE: 01/2024 POSITION/TITLE/RELATIONSHIP: BOARD MEMBER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: RAISE AWARENESS OF THE MUSEUM AND OYSTER BAY’S ROLE IN THE HISTORY OF THE LONG ISLAND RAILROAD.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1995-05-12 |
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