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Account
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88 Post Road West 2Nd Floor, Westport, CT 06880 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-08-09 |
| NY | RA | APPROVED | 2021-09-08 |
| CT | RA | APPROVED | 2018-09-28 |
| TX | RA | APPROVED | 2018-09-28 |
Branch Locations
590 Madison Avenue 28Th Floor, New York, NY 10022 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Aegis Capital Corp | New York | NY | 01/2013 | Present |
| A.G.P. / Alliance Global Partners | New York | NY | 09/2018 | Present |
Co-trustee Michael Nissen 2010 Insurance Trust, investment-related (with opening of managed account, 8/4/2025). Address is 501 E 79 Street, NY, NY 10075. The registered rep oversees the trust with the co-trustee, spending 1 hour/month, none during trading hours. The managed account is solely managed by the bank holding the account.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-06-03 |
| S63 | Uniform Securities Agent State Law Examination | 1993-12-10 |
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