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437 Newman Springs Road, Lincroft, NJ 07738 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-07-15 |
| VA | RA | APPROVED | 2024-07-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Reston | VA | 10/2011 | 01/2017 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2011 | 12/2016 |
| Fiduciary Wealth Management, Llc | Alexandria | VA | 12/2016 | 07/2024 |
| Pensionmark Financial Group, Llc | Santa Barbara | FL | 07/2024 | Present |
1. Capitol Metro Financial Services, Inc.; Investment Related; 7230 Lee DeForest Dr., Suite 105, Columbia, MD 21046; Broker General Agency (BGA) that allows RIAs such as myself to affiliate with them and pass business through their firm; Insurance Producer; 1 hour per month; 0 hours during trading hours; Occasionally, clients need to discuss long-term care or life insurance requirements. To the extent that I can help them learn about these options, I educate my client's. Occasionally, they decide to purchase that protection.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-01-11 |
| S66 | Uniform Combined State Law Examination | 2012-01-28 |
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