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125 Froehlich Farm Blvd., Woodbury, NY 11797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-09-20 |
| PA | RA | APPROVED | 2024-09-06 |
| TX | RA | APPROVED_RES | 2024-08-05 |
Branch Locations
224 Harrison Street, Syracuse, NY 13202 • United States
755 Jefferson Rd., 2Nd Floor, Suite 200, Rochester, NY 14623 • United States
125 Froehlich Farm Blvd., Woodbury, NY 11797 • United States
3 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 |
|---|---|---|---|---|
| Lpl Financial Llc | Rochester | NY | 10/2013 | 10/2019 |
| Cadaret Grant & Co., Inc. | Rochester | NY | 10/2019 | 08/2024 |
| Vanderbilt Financial Group | Woodbury | NY | 08/2024 | Present |
1) Fixed Insurance Sales. Non-Variable Insurance. Not investment related. Start date: 8/10/2015. Address: 755 Jefferson Road Suite 200, Rochester NY, 14623. Title: Agent. Duties: Sale of Fixed Insurance. Time spent during regular hours: 25%. 2) The Retirement Optimization Group "ROGFA". Investment related. Start date: 02/5/2019. Address: 755 Jefferson Road Suite 200, Rochester NY, 14623. Title: President. Duties: Used for tax and marketing purposes. Time spent during regular hours: 50%.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-09-20 |
| S63 | Uniform Securities Agent State Law Examination | 1995-11-20 |
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