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100 Market Street Suite 203, Portsmouth, NH 03801 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2026-01-16 |
| NH | RA | APPROVED | 2025-01-14 |
Branch Locations
100 Market Street Suite 203, Portsmouth, NH 03801 • United States
Sarasota, FL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Company | Alamo | CA | 12/2007 | 12/2016 |
| Principal Funds Distributor Inc | Folsom | CA | 01/2016 | 12/2016 |
| Wellesley Asset Management, Inc. | Monterey | CA | 01/2017 | 11/2019 |
| Foreside Fund Services, Llc | Monterey | CA | 02/2017 | 11/2019 |
| Foreside Fund Services, Llc | Sarasota | FL | 11/2019 | Present |
| Wellesley Asset Manangement, Inc. | Sarasota | FL | 11/2019 | Present |
1.Wellesley Asset Management, Inc.; Sarasota, FL ; Investment Related; Began 01/17/2017; Asset Management; Director, Institutional Sales; Attract and retain assets from third party advisors; 160 hours per month all during securities trading hours. 2: IN ADDITION TO BEING AN INVESTMENT ADVISOR REPRESENTATIVE OF Wellesley Asset Management, THIS ASSOCIATE IS A REGISTERED REPRESENTATIVE OF Foreside Fund Services, LLC, AN UNAFFILIATED BROKER DEALER. THE ASSOCIATE IS A REGISTERED REPRESENTATIVE FOR PURPOSES OF Foreside Fund Services, LLC.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-11-29 |
| S63 | Uniform Securities Agent State Law Examination | 1986-03-06 |
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