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708 Montgomery Street, San Francisco, CA 94111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2021-04-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| W.E. Donoghue & Co., Llc | Norwood | MA | 09/2013 | 04/2020 |
| Rising Star Distributers | Durango | CO | 05/2020 | Present |
| Saxony Capital Management, Llc | Saint Louis | MO | 12/2020 | 03/2021 |
| Jp Pritchard Investment Consulting | Durango | CO | 05/2020 | Present |
| Northstar Financial & Retirement Planning, Llc | Durango | CO | 01/2021 | Present |
| Delta Investment Management, Llc | Durango | CO | 04/2021 | Present |
JP Pritchard Investment Consulting (DBA for investment related business), Investment-Related, Address is the same as the office of employment address for the registrant. Start Date: 05/2020. Hours Dedicated: 10 hours per month (0 hours per month during trading hours) Duties: Write articles, create investment portfolio models. NorthStar Financial & Retirement Planning, LLC, Investment-Related, Address is the same as the office of employment address for the registrant, Financial Advisor, Start Date: 01/2021, Hours Dedicated: 40 hours per month (32.5 hours per month during trading hours) Duties: Retirement Planning with customers utilizing training + supporting staff. Rising Star Distributors, Non investment related, Address is the same as the office of employment address for the registrant, Consultant, Start Date: 5/2020, Hours Dedicated: 2 hours per month (0 hours per month during Trading hours) Duties: Refer RIAs and IARs to back office & administrative platforms and services.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-02-06 |
| S63 | Uniform Securities Agent State Law Examination | 1982-10-14 |
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