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305 Spindrift Drive, Williamsville, NY 14221 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-06-21 |
| LA | RA | APPROVED | 2015-10-05 |
| FL | RA | APPROVED | 2015-09-22 |
| TX | RA | APPROVED_RES | 2015-09-03 |
Branch Locations
11770 U.S. Highway One Suite 205, Palm Beach Gardens, FL 33408 • United States
305 Spindrift Drive, Williamsville, NY 14221 • United States
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 |
|---|---|---|---|---|
| Independent Solutions Wealth Management | Williamsville | NY | 01/2008 | Present |
| Peak Brokerage Services, Llc | Palm Beach Gardens | FL | 09/2015 | Present |
| Blackridge Asset Management, Llc | Williamsville | NY | 09/2015 | 02/2020 |
1) Independent Solutions Welath Management Llc (Corp); Officer; Active Owner; 30% Time Spent; 33% Ownership; Cont. Term 2)Financial Guys Llc; Insurance; Radioshow, Advertising Sales, Financial Services; Agent; Active Owner; 50% Time Spent; 50% Ownership; Cont. Term 3) Neiman Funds Management, Llc; Ria Advisor To Mutual Fund - Neiman Large Cap Value Fund; Director; Active Owner; 17% Time Spent; 16.34% Owner; Continuous Term; Comp Varies 4) The Financial Guys Insurance, Llc; Co-Owner/Partner. Duties: Limited Operational Involvement. Start Date: 6/1/17. Approximate Hours Spent On Activity Per Month: 2 Approximate Hours Spent On Activity Per Month During Trading Hours: 0 5) 305 Sprindrift LLC; Ownership Of Building Through LLC; Co-Owner; Start Date: 4.1.18; Approximate Number Of Hours Spent on Activity Per Month: 2 Hours. 6) Company Name: TFG Insurance/TFG Florida Insurance; Type of Outside Business Activity: P&C ; Position: Manager; Duties of Position: Marketing Director; Start Date: 09/30/2020; Approximate # of hours per month spent: 20; Approximate # of hours spent during trading hours: 1 7) Business entity: The Financial Guys Media; Business Activity: Media/Marketing
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-02-25 |
| S63 | Uniform Securities Agent State Law Examination | 1996-04-16 |
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