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40 Fountain Plaza Suite 1300, Buffalo, NY 14202 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-07-22 |
Branch Locations
40 Fountain Plaza Suite 1300, Buffalo, NY 14202 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sandhill Investment Management | Buffalo | NY | 03/2016 | Present |
Compliance Approved, LLC - Buffalo, NY Start Date: March 2025 Position: Managing Member Investment-Related: No Approx. Hours/Month: 15-20 (primarily evenings/weekends) Description: Operates a software company that provides an AI-powered tool for reviewing marketing materials for potential SEC and FINRA compliance issues. Does not provide investment advice or interact with advisory clients.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-10-18 |
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