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New York, NY • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2024-06-17 |
Branch Locations
New York, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fidelity Investments | Boston | MA | 01/2008 | 04/2023 |
| Compound Advisers, Inc | San Francisco | CA | 05/2023 | 09/2023 |
| Altar Rock Llc | Bedford | MA | 10/2023 | 07/2026 |
| Compound Financial | San Francisco | CA | 04/2023 | 09/2023 |
| Simplicity Investments | Littleton | CO | 03/2025 | Present |
| Altar Rock Insurance Llc | Bedford | MA | 06/2025 | Present |
| Altar Rock Llc | Bedford | MA | 07/2026 | Present |
1.) ALTAR ROCK LLC - 10/1/23 - 34 Harding Road, Lexington, MA 02420 - Head of Research & IAR, Lead the research and operations, Invt Rel, RIA/Ins business, 80 hrs/mo; 80 hrs/mo (during trading hours). 2.) ADV Change Type: New Outside Business Activity (OBA); Name of outside business: Simplicity Investments; ADV Category: broker-dealer, municipal securities dealer, or government securities broker or dealer; Is the business investment related: Yes; Description of the business: Independent broker/dealer specializing in variable life insurance and annuity brokerage; Position Title: REGISTERED REPRESENTATIVE; Responsibilities Duties: Licensed B/D activity related to variable insurance products utilized by clients of Altar Rock ; Start date with business: 2025-03-14; Hours per month devoted to business during trading hours: 1; Hours per month devoted to business outside trading hours: 1; Percentage of total yearly compensation expected to be derived from the business: 2; Will an IRS form for income earned be received: No; 3) Life Insurance Producer - Altar Rock Insurance LLC, Location of the business: 570 Park Ave PHW New York, NY 10065 USA. Responsibilities Duties: assist with private placement life insurance (PPLI) and private placement variable annuity (PPVA) activity; Start date with business: 2025-06-23; Hours per month devoted to business during trading hours: 1; Hours per month devoted to business outside trading hours: 1; Percentage of total yearly compensation expected to be derived from the business: 0; Will an IRS form for income earned be received: No;
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2014-10-27 |
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