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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-12-23 |
Branch Locations
24 Century Hill Drive Suite 105, Latham, NY 12110 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Christies On The Lake | Lake George | NY | 06/2020 | 08/2021 |
| Saratoga Spa Golf | Saratoga Springs | NY | 05/2017 | 08/2021 |
| Suny Canton | Canton | NY | 09/2019 | 05/2022 |
| Suny Research Foundation | Canton | NY | 01/2020 | 06/2022 |
| New York Life Insurance Company | Latham | NY | 03/2022 | 01/2024 |
| South Glens Falls School District | South Glens Falls | NY | 09/2011 | 06/2019 |
| Nylife Securities Llc | Latham | NY | 03/2022 | 01/2024 |
| Massmutual Life Insurance Co | Latham | NY | 12/2023 | Present |
| Mml Investors Services, Llc | Latham | NY | 01/2024 | Present |
| Moreau Ems | Fort Edward | NY | 03/2019 | 07/2024 |
(1) Name: Upstate Transit of Saratoga Inv Rel: N Add: 207 Geyser Rd, Saratoga NY, 12866 Nature: Drive tour buses Position: Bus Driver Start Date: 04/12/2024 No/Hrs Mo: 10 No/Hrs Mo dur trading: 0 Describe Duties: Drive Tour Buses. (2) Name: Barclay Tax Services Inv Rel: Y Add: 32 Cherry Tree Ln, Gansevoort, NY 12831 Nature: Tax Preparation Position: Principle Start Date: 01/01/2026 No Hrs/Mo: 20 No/Hrs Mo dur trading: 1 Describe Duties: Run tax preparation business, build client growth, marketing and occasional data input. (3) Name: South Glens Falls JV Lacrosse Head Coach Inv Rel: N Add: 42 Merritt Rd, South Glens Falls, NY 12803 Nature: Coaching a JV Lacrosse team for a public high school Position: Head Coach Start Date: 04/07/2026 No Hrs/Mo: 12 No/Hrs Mo dur trading: 0 Describe Duties: Coach a team of freshmen and sophomores for 2 months during the spring. Hold practices daily after trading hours and coach games (up to 16 a year).
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-12-03 |
| S63 | Uniform Securities Agent State Law Examination | 2022-07-07 |
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