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125 Froehlich Farm Blvd., Woodbury, NY 11797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2021-05-07 |
Branch Locations
125 Froehlich Farm Blvd., Woodbury, NY 11797 • United States
18 Kings Highway North, Westport, CT 06880 • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Minneapolis | MN | 10/2009 | 05/2017 |
| Ameriprise Financial Services, Inc. | Greenwich | CT | 10/2009 | 05/2017 |
| Westport Capital Markets | Westport | CT | 05/2017 | 05/2021 |
| Vanderbilt Securities, Llc | Woodbury | NY | 05/2021 | Present |
| Vanderbilt Advisory Services | Woodbury | NY | 05/2021 | Present |
1) Vanderbilt Financial Group (Annuity/Insurance). Investment related. Start date: 05/01/2021. Address: 18 kings Hwy North Westport CT, 06880. Title: Licensed Producer. Duties: Selling and servicing Annuity and Insurance business. Time spent during regular hours: 5%. 2) Vanderbilt Financial Group-Westport. Investment related. Start date: 03/01/2022. Address: 18 kings Hwy North Westport CT, 06880. Title: Sr. Wealth Manager. Duties: Financial Advice. Time spent during regular hours: 100%.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-12-07 |
| S63 | Uniform Securities Agent State Law Examination | 1995-08-07 |
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