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400 East Vine St Suite 400, Lexington, KY 40507 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2012-03-02 |
| KY | RA | APPROVED | 2010-04-12 |
Branch Locations
400 East Vine St Suite 400, Lexington, KY 40507 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Apw Capital, Inc. | Parsippany | NJ | 03/2010 | 09/2021 |
| Ballast, Inc. | Lexington | KY | 03/2010 | Present |
| Outside Insurance Business | Lexington | KY | 07/2010 | Present |
(1) - Blue Grass Community Foundation, Investment related: No, 499 East High Street, Suite 112, Lexington, Ky, 40507, Community Foundation, Board Member, 01/01/2015, 2, I will be a volunteer board member and member of the executive committee. I will NOT have any ability to direct, access, move, change, handle, or make a unilateral decision on any of the foundation's assets, checking accounts, or any financial decisions. This is a role where I will help provide input to the organization. help create ideas of how to improve knowledge of community foundation. (2) Three Fillies Farm; Lexington, KY; Service description: We sell hay; Start date: 06/16/2016; Title: N/A; Duties: Sell hay; Time spent: 5% (3) - Cathedral of Christ The King - Volunteer Endowment Committee Member (4) - University of Kentucky MBA Advisory Council, Investment related: No, 550 South Limestone, Lexington, Kentucky, 40506, , volunteer council member, 07/01/2020, 1 hour, The council has three primary goals: Help improve our program through ensuring that the program is providing the tools for our candidates to excel in the workplace Help mentor and develop our MBA candidates through providing functional and career advice to our candidates Help place our MBA candidates through providing networking as well as internship opportunities. (5) - Outside Fixed Insurance; Lexington, KY; Service description: Life/Disability/Long-term care insurance; Duties: Insurance Agent; Title: Financial Planner, Director of business development; Time spent: 10%. (6) -Four Foals Realty LLC; a LLC created for investment properties; Time spent 5%. (7)- Hat Creek Racing Co XI, LLC; not investment-related; 838 E. High Street, #104 Lexington, KY 40502; has ownership in race horses; minority/silent investor; start date: 4/24/2024; I devote "0" hours per month to this business; no duties, silent investor.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-12-08 |
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