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9 Union Square Unit #1123, Southbury, CT 06488 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2023-11-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Liberty Group Llc | Oakland | CA | 06/2012 | 11/2016 |
| Grow Capital Management | San Francisco | CA | 06/2016 | 02/2017 |
| 280 Securities Llc | San Francisco | CA | 06/2016 | 11/2016 |
| 280 Securities Llc | Seattle | WA | 11/2016 | 06/2021 |
| Incapital Llc | San Francisco | CA | 07/2021 | 01/2023 |
| Consultant | Puyallup | WA | 02/2023 | 09/2023 |
| Newday | Southbury | CT | 10/2023 | Present |
| Capulent Llc | Phoenix | AZ | 01/2025 | Present |
| Neighborly Securities | San Francisco | CA | 03/2016 | 05/2016 |
1. Compliance Advisory, LLC; Non-investment related; Located at 2315 43rd Street SE, Puyallup, WA. 98374; Nature of business-compliance consulting services to financial services firms; Position-Owner; Start-2012; Hours varies month-to month; Hours varies during securities trading hours; Duties-Consultant. 2. LGM Capital Management; Investment related; Located at 11811 N Tatum Blvd., #3031, Phoenix, Az. 85028; Nature of business-Investment/Financial Services; Position-Chief Compliance Officer; Start-June 2017; Approximately 8 hours weekly; Less than 2 hours during securities trading hours; Duties-various compliance responsibilities. 3. Newday Funds Inc; Investment Related; 9 Union Square Unit #1123 Southbury, CT 06488; SEC Registered Investment Advisor; Chief Compliance Officer; 10/1/2022; 20 hours per week; compliance and operations.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-08-30 |
| S66 | Uniform Combined State Law Examination | 2016-06-11 |
| S63 | Uniform Securities Agent State Law Examination | 2000-05-05 |
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