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1345 Avenue Of The Americas 27Th Floor, New York, NY 10105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-10-31 |
| ID | RA | APPROVED | 2023-10-31 |
| NC | RA | APPROVED | 2023-10-31 |
| TX | RA | APPROVED_RES | 2023-10-31 |
| WA | RA | APPROVED | 2023-10-31 |
| IN | RA | APPROVED | 2021-10-07 |
| NY | RA | APPROVED | 2021-07-27 |
| OR | RA | APPROVED | 2015-07-06 |
| MT | RA | APPROVED | 2015-07-02 |
Branch Locations
1000 Sw Broadway Suite 1220, Portland, OR 97205 • United States
1345 Avenue Of The Americas 27Th Floor, New York, NY 10105 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Aegis Capital Corp | Portland | OR | 07/2015 | Present |
1) REAL ESTATE/ RENTAL -PAY BILLS ,COLLECT RENT. 0-2 HOURS PER WEEK. 2) BROADWAY GROUP LLC; PORTLAND OR; MANAGING MEMBER, OFFICES EXPENSES; START DATE 7/2015; 180 HOURS DEVOTED TO BUSINESS DURING SECURITIES HOURS TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-01-23 |
| S63 | Uniform Securities Agent State Law Examination | 1985-06-17 |
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