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125 Froehlich Farm Blvd., Woodbury, NY 11797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-04-12 |
| AK | RA | APPROVED | 2020-10-30 |
| CA | RA | APPROVED | 2020-10-30 |
Branch Locations
190 N. Wiget Lane Suite 125, Walnut Creek, CA 94598 • United States
125 Froehlich Farm Blvd., Woodbury, NY 11797 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Kms Financial Services, Inc | Seattle | WA | 12/2006 | 10/2020 |
| Financial Resources, Inc. | Anchorage | AK | 09/1984 | Present |
| Vanderbilt Securities, Llc | Woodbury | NY | 10/2020 | Present |
| Consolidated Portfolio Review Corp | Woodbury | NY | 10/2020 | Present |
1) FINANCIAL RESOURCES INC - Investment Related. Start date: 05/14/1984. Address: 190 N Wiget Lane Suite 125, Walnut Creek CA, 94598. Title: President/Managing Executive. Duties: Managing Executive, Owner, Investment Advisory and Registered Representative, Management, client service. Time spent during regular hours: 60%. 2) MARTINSON STOLLER ADVISORS - Investment Related. Start date: 07/30/2013. Address: 190 N Wiget Lane Suite 125, Walnut Creek CA, 94598. Title: Partner. Duties: Investment Advisor Representative, investment management, client service. Time spent during regular hours: 40%. 3) Fixed Insurance Sales - Start date: 20/10/2020. Address: 190 N Wiget Lane Suite 125, Walnut Creek CA, 94598. Title: Registered Representative. Duties: Life Insurance and Annuity Licensed, servicing Existing Variable Annuity business. Time spent during regular hours: 0%.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-10-10 |
| S63 | Uniform Securities Agent State Law Examination | 1984-10-30 |
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