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Current Employers
Modern Wealth Management, Llc

1712 Main Street Suite 400, Kansas City, MO 64108 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2025-10-03
  • NY RA
    APPROVED
    Since 2025-10-03

Branch Locations

1712 Main Street Suite 400, Kansas City, MO 64108 • United States

One Bausch & Lomb Place, Rochester, NY 14604 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Osaic Wealth, Inc. Fairport NY 02/2014 10/2025
Modern Wealth Management, Llc Rochester NY 10/2025 Present
Mutual Securities, Inc. Camarillo CA 10/2025 Present
Previous Registrations
Other Businesses

1. Modern Wealth Management, Start Date: 10/06/2025, One Bausch & Lomb Place, Ste. 900, Rochester, NY 14606, LLC, Wealth Management, Relationship Manager, Investment account management and maintenance as well as financial planning design and implementation, Investment Related, 160 Hours per month, 8 Hours per day during trading hours. 2.Independent Insurance Agent, Start Date: 10/06/2025, One Bausch & Lomb Place, Ste. 900, Rochester, NY 14606, LLC, Insurance, Financial Advisor/Agent, Identify needs for fixed, long-term, health, life, disability, etc., insurance and annuity products, provide illustrations and/or quotes, write insurance and annuity business, Investment Related, 10 Hours per month, .5 Hours per day during trading hours. 3. Fairport Soccer Club, Start Date: 11/01/2016, 655 Ayrault Rd., Fairport, NY 14450, Club, Youth Soccer Coach, Soccer Coach, I coach a youth soccer team, Not Investment Related, 12 Hours per month, 0 Hours per day during trading hours. 4. MUTUAL SECURITIES, INC., INVESTMENT-RELATED: YES: ONE BAUSCH AND LOMB PLACE, SUITE 900, ROCHESTER, NY 14604: BROKER-DEALER / INVESTMENT ADVISORY SERVICES: REGISTERED REPRESENTATIVE: 10/06/2025: 160 HOURS/MONTH: 8 HOURS/MONTH: REGISTERED REPRESENTATIVE

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-06-12
  • S66 Uniform Combined State Law Examination
    2012-06-12

View on SEC IAPD

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