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350 Linden Oaks Suite 140, Rochester, NY 14625 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2025-01-03 |
| SC | RA | APPROVED | 2025-01-03 |
| ME | RA | APPROVED | 2024-10-25 |
| MA | RA | APPROVED | 2020-12-08 |
| NH | RA | APPROVED | 2020-11-25 |
Branch Locations
7 Grove Street Suite 301, Topsfield, MA 01983 • United States
350 Linden Oaks Suite 140, Rochester, NY 14625 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Essex Agricultural & T. Inst. | Danvers | MA | 09/1978 | Present |
| Mark Gatti & Associates (Self Employed) | Peadbody | MA | 01/1986 | Present |
| H.D. Vest Investment Securities, Inc. | Irving | TX | 11/1996 | Present |
| American Portfolios Financial Services, Inc. | Topsfield | MA | 01/2002 | 10/2024 |
| American Portfolios Advisors, Inc. | Holbrook | NY | 12/2003 | 05/2021 |
| Novem Group | Rochester | NY | 11/2020 | Present |
| Osaic Wealth, Inc. | Topsfield | MA | 10/2024 | 12/2024 |
1) TOPSFIELD FINANCIAL GROUP, OWNER AND AGENT, TAX PREP, NOT INVESTMENT-RELATED, START DATE 2/1982, 60 HRS/MONTH DURING TRADING HOURS AND 72 HRS/MONTH TOTAL 2) NOVEM GROUP, REGISTERED INVESTMENT ADVISER FIRM, INVESTMENT ADVISER REPRESENTATIVE, INVESTMENT-RELATED, START DATE 11/25/2020, 10 HRS/MONTH DURING TRADING HOURS AND TOTAL
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1982-03-19 |
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