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Current Employers
Pine Valley Investments

10 E. Stow Rd. Suite 200, Marlton, NJ 08053 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-10-17
NJ RA APPROVED 2015-08-05
  • TX RA
    APPROVED_RES
    Since 2018-10-17
  • NJ RA
    APPROVED
    Since 2015-08-05

Branch Locations

Williamstown, NJ • United States

10 E. Stow Rd. Suite 200, Marlton, NJ 08053 • 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
Pine Valley Investments Williamstown NJ 07/2015 Present
Michael Modica Turnersville NJ 06/2012 Present
Previous Registrations
  • 2014-08-13 → 2015-07-10
    Foresters Equity Services, Inc.
    Turnersville, NJ
    San Diego, CA
    Dallas, TX
    Turnersville, NJ
  • 2013-11-13 → 2014-08-01
    Monticello Investment Services, Inc.
    Turnersville, NJ
    Neosho, MO
Other Businesses

PV Capital LLC / Investment-related / 10 E Stow Rd, Suite 200, Marlton, NJ 08053 / PV Capital LLC is the General Partner and Manager of the PV Opportunity Fund Series I / Managing Member / As a managing member, Mr. Modica is responsible for investment due diligence and high-level portfolio management. His involvement averages 5-10 hours per week. His duties include being directly involved in fund operations including overseeing the fund administrator and coordinating with independent auditors to ensure financial accuracy and regulatory compliance. Pine Valley Planning LLC / Investment-related / 10 E Stow Rd, Suite 200, Marlton, NJ 08053 / Pine Valley Planning LLC is an agency which offers insurance solutions (Life DI and LTC) as part of comprehensive financial planning / As a Partner, Mr. Modica provides strategic oversight and risk management consulting with his involvement is limited to approximately 5 hours per week primarily focused on high-level management and client strategy. Magerian Fund GP / Investment-related / Magerian Fund GP is the General Partner and Manager of the Magarian Fund LP / Managing Member / As a managing member, Mr. Modica is responsible for the fund's operational and fiduciary governance specifically overseeing the fund administrator and coordinating the annual independent audit. His involvement averages 5-10 hours per week. His duties include managing internal controls and partnership administration distinct from primary portfolio management.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-08-23
  • S66 Uniform Combined State Law Examination
    2013-08-23
Other Names
  • Mike Modica

View on SEC IAPD

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