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80 Business Park Drive, Suite 108, Armonk, NY 10504 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2015-11-23 |
Branch Locations
80 Business Park Drive, Suite 108, Armonk, NY 10504 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| American Portfolios/Jason Waxler | Katonah | NY | 01/2009 | 10/2024 |
| Income & Asset Advisory, Inc. | Armonk | NY | 02/2012 | Present |
| Osaic Wealth, Inc. | Armonk | NY | 10/2024 | Present |
1. HUGH T MCGOWAN REVOCABLE TRUST POSITION: Trustee/Executor NATURE: Trustee INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 12/03/2019 ADDRESS: 165 Valley Road, Katonah NY 10504, United States DESCRIPTION: Admin 2. KATONAH CAPITAL GROUP LLC POSITION: Admin NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/03/2007 ADDRESS: 80 Business Park Drive Suite 108, Armonk NY 10504, United States DESCRIPTION: Admin 3. KATONAH CAPITAL GROUP LLC POSITION: Assistant NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 08/03/2020 ADDRESS: 80 Business Park Drive Suite 108, Armonk NY 10504, United States DESCRIPTION: Bookkeeping 4. INCOME & ASSET ADVISORY INC POSITION: Registered Assistant NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 03/01/2012 ADDRESS: 80 Business Park Drive, Suite 108, Armonk NY 10504, United States DESCRIPTION: Admin
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-04-29 |
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