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389 Interpace Parkway Suite 3, Parsippany, NJ 07054 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-11-24 |
| NJ | RA | APPROVED | 2024-03-26 |
Branch Locations
New Jersey, NJ • United States
389 Interpace Parkway Suite 3, Parsippany, NJ 07054 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Diego | CA | 02/2008 | 03/2018 |
| Bank Of America, N.A. | San Diego | CA | 07/2016 | 03/2018 |
| Wells Fargo Clearing Services Llc | Woodstock | IL | 03/2018 | 12/2020 |
| Baker Avenue Asset Management Lp | San Francisco | CA | 12/2020 | 03/2024 |
| Sax Wealth Advisors, Llc | Parsippany | NJ | 03/2024 | Present |
CARAVAN Wellness, a subsidiary of WELLNS, LLC. - Investment related (Y/N): N - Address: 6 Saint Johns Ln, New York, NY 10013 - Nature: Create educational-only videos about financial concepts - Position/Title: Financial Wellness Teacher - Start date: 12/2023 - Hours per month: 5 - Hours during trading hours: 1
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-08-19 |
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