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400 East Vine St Suite 400, Lexington, KY 40507 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2014-10-13 |
Branch Locations
400 East Vine St Suite 400, Lexington, KY 40507 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Apw Capital, Inc. | Parsippany | NJ | 06/2014 | 09/2021 |
| Ballast, Inc. | Lexington | KY | 10/2013 | Present |
(1) - OUTSIDE FIXED INSURANCE; LEXINGTON, KY; FIXED INSURANCE/INCLUDES EQUITY INDEXES; SINCE 10/1/2014; LIFE/DISABILITY/LONG-TERM CARE INSURANCE; TITLE: INSURANCE AGENT; 5% TIME SPENT. DUTIES: INSURANCE AGENT. (2) - Life Plan of Kentucky Board Member, Investment related: Yes, 230 Lexington Green Circle, STE 120, Lexington, KY, 40503, Volunteer board member. Pooled fund for special needs trusts. I have no ability to make unilateral decisions on investments or fund movement., Board Member, 01/12/2021, Review investment portfolios and client requests (3) - Ashland Terrace, Board Member, Advise on continuing operations of a women's senior independent living facility. Serve on the finance committee which has the goal of ensuring the longevity of the organization. (4) - Bike4Alz, Board member. Advise group of college students who conduct an annual cross-country bike ride. Support planning & fundraising efforts. Liaise with recipients of Alzheimer's research grants Bike4Alz makes with funds it raises. 5) MyHammyVice, Lexington, Kentucky; not investment related; BBQ business that raises money for Hogs for the Cause; net profits donated to 501c3 Hogs for the Cause, EIN [REDACTED]; part-time cook, sell BBQ and merchandise; Owner/Pitmaster; Time spent 5 hours per month. 6) Brown Sanders Philanthropy Council, Council Member.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-10-11 |
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