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Two Liberty Place 50 South 16Th Street, Suite 3700, Philadelphia, PA 19102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2024-07-30 |
| MD | RA | APPROVED | 2024-07-25 |
Branch Locations
6400 C St Sw, Cedar Rapids, IA 52499 • United States
Gaithersburg, MD • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sagpoint Financial, Inc. | Phoenix | AZ | 09/2014 | 12/2017 |
| Fsc Securities Corporation | Atlanta | GA | 09/2014 | 12/2017 |
| Royal Alliance Associates, Inc. | New York | NY | 09/2014 | 12/2017 |
| Woodbury Financial, Inc. | Oakdale | MN | 09/2014 | 12/2017 |
| The Prudential Insurance Company Of America | Newark | NJ | 01/2018 | 10/2019 |
| Pruco Securities, Llc | Newark | NJ | 01/2018 | 10/2019 |
| Prudential Customer Solutions Llc | Newark | NJ | 08/2019 | 10/2019 |
| Grove Point Advisors, Llc | Rockville | MD | 04/2021 | 07/2024 |
| Grove Point Investments, Llc | Rockville | MD | 04/2021 | 07/2024 |
| H. Beck, Inc. | Rockville | MD | 01/2020 | 03/2021 |
| Transamerica Financial Advisors, Inc | Cedar Rapids | IA | 07/2024 | Present |
| Wfgia | Cedar Rapids | IA | 07/2024 | Present |
| Rental Property | Ocean View | DE | 01/2024 | Present |
| Rental Property | Rockville | MD | 01/2024 | Present |
As an employee of Transamerica Financial Advisors, Inc., employees may perform home office functions for other business units. Rental Property: POSITION: Property Owner NATURE: Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024; ADDRESS: 48 Sycamore Street, Ocean View, DE 19970, United States; DESCRIPTION: Periodic property maintenance and rental activity Rental Property /0124-Present / Investment Related: Yes / Rockville, MD 20580 / Property Owner/ Rental Property/ Hrs. Work Monthly: 0 / Sec Trading Hrs.: 0 / Periodic property maintenance and rental activity
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-12-17 |
| S63 | Uniform Securities Agent State Law Examination | 1985-05-24 |
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