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3 E 28Th Street 7Th Floor, New York, NY 10016 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-06-10 |
Branch Locations
3 E 28Th Street 7Th Floor, New York, NY 10016 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| E*Trade Securities Llc | Alpharetta | GA | 07/2015 | 10/2017 |
| E*Trade Capital Management Llc | Alpharetta | GA | 07/2015 | 10/2017 |
| E*Trade Securities Llc | Cupertino | CA | 10/2017 | 07/2021 |
| E*Trade Capital Management Llc | Cupertino | CA | 10/2017 | 07/2021 |
| Npm Securities, Llc | Woodstock | GA | 07/2021 | Present |
| Secondmarket Financial, Llc | Woodstock | GA | 03/2025 | Present |
SecondMarket Financial LLC, Registered Investment Advisor, NY NY, Sales/Account Manager, Started March 2025, approximately 15 hours a week - this time is during trading hours. Refer/Recommend Individuals to other RIAs.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-03-17 |
| S66 | Uniform Combined State Law Examination | 2015-10-19 |
| S63 | Uniform Securities Agent State Law Examination | 2014-06-24 |
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