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601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2018-01-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Nathan Agencies | Amherst | MA | 08/2014 | 12/2022 |
| Lincoln Investment | Fort Washington | PA | 05/2017 | Present |
| Capital Analyst | Amherst | MA | 01/2018 | Present |
| Northampton Community Music Center | Northampton | MA | 09/2023 | Present |
AMHERST CINEMA POSITION: Member of Board of Directors NATURE: Non-profit Cinema INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 05/17/2022 ADDRESS: 28 Amity Street, Amherst MA 01002, United States DESCRIPTION: Serving as a member of the Board of Directors involved with community outreach and engagement, and serving on the Strategic Planning committee and the Finance & Fiduciary Committee (previously disclosed, and continuing to serve in that role). GALAKTIK AUDIO POSITION: Project Manager, Recording artist NATURE: Music distribution INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2022 ADDRESS: 3037 St Pauls St., Baltimore MD 21218, United States DESCRIPTION: Overseeing production and distribution of digital music release, coordinating logistics with participating artists (including myself) LIFE/HEALTH/DISABILITY/LONG-TERM CARE INSURANCE & ANNUITIES POSITION: Agent NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 05/01/2014 ADDRESS: 20 Gatehouse Road, Amherst MA 01002, United States DESCRIPTION: Occasionally place insurance business with carriers that do not have a selling arrangement with Lincoln. NORTHAMPTON COMMUNITY MUSIC CENTER POSITION: Second Vice President, Member of Board of Directors, Executive Committee, and Facilities & Finance Committee NATURE: Nonprofit music education INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 0 START DATE: 09/27/2023 ADDRESS: 139 South St, Northampton MA 01060, United States DESCRIPTION: Sit on Board of Directors and Marketing & Outreach Committee for non-profit music school. Primary role involves serving as an ambassador of the Music Center to the Community.As member of Facilities & Finance Committee member, I do not have any access/authorization/check-writing privileges. As 2nd VP and member of the Executive Committee, I am involved in the annual performance review of the Executive Director and may be requested to vote on changes to their salary.In my capacity as a Lincoln Investment Financial Professional working directly with individuals who are on the staff or faculty of NCMC, I will abstain or recuse myself from votes or discussion that conflict with my role as Financial Professional, IAR, or Agent. All duties in my capacity as a volunteer, board member, committee member, or Executive Committee member will be kept distinct from my duties as a Financial Professional. I will hold no discretionary trading authority. I will disclose all powers/duties/potential conflicts to the full board. At no time will I imply or hold out my role as Second Vice President (or any other role/title as a board member) as being synonymous with Financial Professional. At no time will I receive any compensation from my role as volunteer, board member, or committee member with NCMC.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-12-04 |
| S63 | Uniform Securities Agent State Law Examination | 2017-09-01 |
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