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9 Granite Street, Westerly, RI 02891 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-11-13 |
| RI | RA | APPROVED | 2019-06-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James Financial Services, Inc | Westerly | RI | 01/2019 | Present |
| Webster Investments | Warwick | RI | 01/2016 | 10/2018 |
| Unemployed | Riverside | RI | 10/2018 | 01/2019 |
| New England Professional Planning Group | Westerly | RI | 01/2019 | Present |
(1)Name of Business: Professional Planning Group Address: 9 Granite St, Westerly, RI, 02891-2207, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 01/07/2019 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: trading, client service
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-11-14 |
| S63 | Uniform Securities Agent State Law Examination | 1997-06-16 |
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