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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2026-06-20 |
| PA | RA | APPROVED | 2026-06-19 |
Branch Locations
1174 Veterans Memorial Hwy, Hauppauge, NY 11788 • United States
Holland, PA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pulse Entertainment | Ivyland | PA | 08/1997 | Present |
| Pnc Investments | Pittsburgh | PA | 05/2016 | 12/2016 |
| Pnc Bank | East Windsor | NJ | 05/2016 | 12/2016 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Pennington | NJ | 12/2016 | 03/2018 |
| Hsbc Securities (Usa) Inc. | Philadelphia | PA | 03/2018 | 08/2019 |
| Hsbc Bank Usa, N.A. | Philadelphia | PA | 03/2018 | 08/2019 |
| Wells Fargo Bank, Na | Lafayette Hill | PA | 10/2019 | 02/2021 |
| Wells Fargo Clearing Services, Llc | Lafayette Hill | PA | 10/2019 | 02/2021 |
| Citizens Securities, Inc | Westwood | MA | 03/2021 | 05/2021 |
| Citizens Bank | Fort Washington | PA | 03/2021 | 05/2021 |
| Thrive Capital Management | Fort Washington | PA | 05/2021 | 09/2022 |
| Thrive Insurance Group | Fort Washington | PA | 05/2021 | 09/2022 |
| Thrive Financial Services | Fort Washington | PA | 05/2021 | 09/2022 |
| Charles Schwab & Co, Inc | Horsham | PA | 10/2022 | 04/2023 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Doylestown | PA | 04/2023 | 10/2023 |
| Bank Of America, N.A. | Doylestown | PA | 05/2023 | 10/2023 |
| Cambridge Investment Research, Inc. | Fairfield | IA | 10/2023 | 11/2025 |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 10/2023 | 11/2025 |
| Gwh Wealth Advisors, Llp | Newtown | PA | 10/2023 | 11/2025 |
| Ameriprise Financial Services, Llc | Hauppauge | NY | 06/2026 | Present |
| Financial Group Of Philadelphia | Yardley | PA | 01/2026 | 03/2026 |
Outside Employment; Pulse Entertainment; Disc Jockey and event manager. Just a per diem part time employee for the last 30 years.; Disc jockey for my brother's company, Pulse Entertainment; 43 Steamwhistle Dr, , Ivyland, PA, 18974; Not Investment-Related; 08/01/1997; 10 to 19 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-12-11 |
| S63 | Uniform Securities Agent State Law Examination | 2016-03-11 |
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