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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2025-07-24 |
| MD | RA | APPROVED | 2022-07-27 |
| NY | RA | APPROVED | 2021-04-26 |
| TX | RA | APPROVED | 2020-03-02 |
| MA | RA | APPROVED | 2019-03-13 |
| IL | RA | APPROVED | 2019-03-01 |
| RI | RA | APPROVED | 2019-03-01 |
| WA | RA | APPROVED | 2019-03-01 |
| FL | RA | APPROVED | 2019-02-25 |
| CA | RA | APPROVED | 2019-02-22 |
| CT | RA | APPROVED | 2019-02-22 |
| NJ | RA | APPROVED | 2019-02-22 |
| PA | RA | APPROVED | 2019-02-22 |
Branch Locations
Goodlettsville, TN • United States
380 N. Broadway Suite 206, Jericho, NY 11753 • United States
2875 So Ocean Blvd Suite 200-61, Palm Beach , FL 33480 • United States
12 E 49Th Street 11Th Floor, New York, NY 10017 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 10/2013 | 02/2019 |
| Bank Of America N.A. | New York | NY | 05/2014 | Present |
| Osaic Wealth, Inc. | Jericho | NY | 02/2019 | Present |
1. I*83153 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: BOB'S BIG GIVE INVESTMENT RELATED: N ADDRESS OF BUSINESS: 55 EAST TERRACE, PORTSMOUTH, RHODE ISLAND 2871 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: OFFICER, START DATE OF RELATIONSHIP: 7/20/2015 NUMBER OF HOURS DEVOTED: 4 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THE PURPOSE OF BOB'S BIG GIVE IS TO ASSIST THOSE IN NEED WITH THEIR QUALITY OF LIFE WITH FOOD, CLOTHING, HOUSEHOLD ITEMS AS WELL ASSISTING WITH UTILITY PAYMENTS FOR THOSE LESS FORTUNATE TO LIVE MORE COMFORTABLY. 2. SEWALL FINANCIAL CORP 380 N BROADWAY SUITE 206 OWNER SELL LIFE LTC AND INSURANCE START DATE: 1/16/2019 2 HOURS PER MONTH APPROX 1 HOUR DURING TRADING... 3. BOB'S BIG GIVE POSITION: Officer NATURE: Non profit 501C3 charity INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 07/20/2015 ADDRESS: 55 East Terrace, Portsmouth RI 02871, United States DESCRIPTION: Help make people aware of the charity 4. SEWALL FINANCIAL GROUP POSITION: President NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 02/25/2019 ADDRESS: 2067 Cezanne Rd, West Palm Beach FL 33409, United States DESCRIPTION: President of Sewall Financial Group 5. ATHLETE ALLY POSITION: Board Member NATURE: Athlete Ally is a Non Profit with the focus of inclusion in sports INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2024 ADDRESS: 25 W 45th St, Suite 504, New York NY 10036, United States DESCRIPTION: I am still learning my effective role, but I was asked to join the board as a straight male that will advocate for inclusion in sports. My role will be to help spread word of their cause and share my ideas when asked on various pertinent subjects to the cause. 6.SPROUT GIFTS, LLC. POSITION: Partner NATURE: LLC with my wife and I. It is her company that I am a silent partner of. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/06/2026 ADDRESS: 150 Bella Vista Dr., Goodlettsville TN 37072, United States DESCRIPTION: I helped my wife Nicolette formulate her idea for her children's gift registry
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-01-30 |
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