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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-07-27 |
| NJ | RA | APPROVED | 2016-06-06 |
| TX | RA | APPROVED | 2016-06-03 |
Branch Locations
500 Stony Brook Ct Suite 1 [Satellite], Newburgh, NY 12550 • United States
572 Titus Ave, Rochester, NY 14617 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Financial Network, Llc | Newburgh | NY | 06/2016 | Present |
THE CAPTIVA GROUP LLC, INV RELATED, NEWBURGH, NY, 34% OWNERSHIP, START 6/3/2016, 10 HOURS PER MONTH, 12 HOURS DURING TRADING, FINET PRACTICE. THE COOMBS GROUP, INC; INV. RELATED; NEWBURGH,NY; 100% OWNERSHIP; START DATE 05/26/2016; NUMBER OF HOURS PER MONTH 2; NUMBER OF HOURS DURING TRADING .1; FINET PRACTICE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-17 |
| S63 | Uniform Securities Agent State Law Examination | 1998-10-16 |
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