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708 Montgomery Street, San Francisco, CA 94111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2020-01-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Nylife Securities Llc | Greenville | SC | 08/2019 | 11/2019 |
| New York Life Insurance Company | Greenville | SC | 05/2019 | 10/2019 |
| Ohio National Life Insurance Company | Greenville | SC | 04/2016 | Present |
| Athene Usa | Greenville | SC | 09/2018 | Present |
| Northstar Financial & Retirement Planning, Llc | Greenville | SC | 11/2019 | Present |
| Delta Investment Management, Llc | Greenville | SC | 12/2019 | Present |
NorthStar Financial & Retirement Planning, LLC Investment related 113 Whitsett Street, Greenville, SC 29601 Agent, provide advice on financial matters and insurance products to clients. Since November 2019 Spends approximately 158 hours per month in this capacity, amost during trading hours Ohio National Life Insurance Company Non-investment related 113 Whitsett Street, Greenville, SC 29601 Agent, Insurance Sales Since April 2016 Spends approximately 10 hours per month in this capacity, some during trading hours Athene USA Non-investment related 113 Whitsett Street, Greenville, SC 29601 Agent, Insurance Sales Since September 2018 Spends approximately 4 hours per month in this capacity, some during trading hours
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-12-02 |
| S63 | Uniform Securities Agent State Law Examination | 2019-09-13 |
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