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1712 Main Street Suite 400, Kansas City, MO 64108 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-05-06 |
| NY | RA | APPROVED | 2024-03-01 |
Branch Locations
1712 Main Street Suite 400, Kansas City, MO 64108 • United States
One Bausch & Lomb Place Suite 900, Rochester, NY 14604 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cadaret, Grant & Co., Inc. | Rochester | NY | 05/2014 | 09/2018 |
| Beltz, Ianni & Associates | Rochester | NY | 05/2014 | 02/2024 |
| Lpl Financial Llc | Rochester | NY | 09/2018 | 02/2024 |
| Modern Wealth Management, Llc. | Rochester | NY | 02/2024 | Present |
| Mutual Securities, Inc. | Camarillo | CA | 02/2024 | Present |
1. Modern Wealth Management, LLC., Start Date: 03/01/2024, One Bausch and Lomb Place, Ste. 900, Rochester, NY 14604, Corporation, RIA, Executive Financial Advisor, Financial Planner, Investment Advisor, Investment Related, 200 Hours per month, 10 Hours per day during trading hours. 2. Independent Insurance Agent, Start Date: 03/01/2024, One Bausch and Lomb Place, Ste. 900, Rochester, NY 14604, Corporation, Insurance Agency, Insurance Agent, Non-Variable Insurance Fixed Insurance, Not Investment Related, 5 Hours per month, 0.5 Hours per day during trading hours. 3. 1/7/2020 - Mutual Securities Group - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-12-22 |
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