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3000 Westchester Avenue Suite 206, Purchase, NY 10577 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2019-09-20 |
Branch Locations
3000 Westchester Avenue Suite 206, Purchase, NY 10577 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James Financial Services, Inc | Southport | CT | 07/2012 | 09/2019 |
| Southport Financial Group, Llc | Southport | CT | 07/2012 | 09/2019 |
| Raymond James Financial Services Advisors Inc. | Southport | CT | 07/2012 | 09/2019 |
| Seacrest Wealth Management, Llc | Darien | CT | 09/2019 | Present |
| Purshe Kaplan Sterling Investments | Albany | NY | 10/2019 | Present |
1) Seacrest Wealth Management; Investment Related; DARIEN, CT, 06820 RIA; Wealth Advisor; 09/20/2019; 160 hours a month, 8-10 trading hours; managing client portfolios. 2) PURSHE KAPLAN STERLING INVESTMENTS, LLC; YES; REGISTERED REPRESENTATIVE; DARIEN, CT, 06820; REGISTERED REPRESENTATIVE OF A BROKER-DEALER; 40 HRS/MONTH; 40 HRS/MONTH DURING TRADING HOURS
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-07-19 |
| S63 | Uniform Securities Agent State Law Examination | 1984-04-12 |
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