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49 West 37Th Street 7Th Floor, New York, NY 10018 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-05-18 |
| NJ | RA | APPROVED | 2011-07-11 |
Branch Locations
49 West 37Th Street 7Th Floor, New York, NY 10018 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cadaret, Grant & Co., Inc. | New York | NY | 06/1998 | 07/2025 |
| Institutional Investment Advisors Corp. | New York | NY | 01/1991 | Present |
| Lpl Financial Llc | New York | NY | 07/2025 | Present |
1- 07/2025 - Conservative Advice - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 01/01/2010 - 160 hours per month/ during trading 2- 07/2025 - Clifford Michaels, Highland Group LLC - Author - Investment Related - Home Based - Start Date 06/01/2016 - 1 hour per month/ 0 hours during trading 3- 07/2025 - Institutional Investment Advisors Corp. - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 01/02/1992 - 160 hours per month/ during trading - I provide investment advisory services through Institutional Investment Advisors Corp, an independent investment advisor firm. I started this business activity in 1/1992. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1999-01-14 |
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