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152 West 57Th Street 16Th Floor, New York, NY 10019 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-09-20 |
Branch Locations
152 West 57Th Street 16Th Floor, New York, NY 10019 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| New York Life Investment Management Llc | New York | NY | 07/2008 | 12/2018 |
| Sheaff Brock Investment Advisors, Llc | Indianapolis | IN | 01/2020 | 11/2021 |
| Unemployed | North Caldwell | NJ | 12/2018 | 01/2020 |
| Arbor Court Capital, Llc | Broadview Hts. | OH | 11/2020 | 11/2021 |
| Innovative Portfolios Inc | North Caldwell | NJ | 01/2021 | 01/2023 |
| Foreside Fund Services, Llc | North Caldwell | NJ | 02/2022 | 01/2023 |
| 13D Management, Llc | New York | NY | 03/2023 | Present |
| Foreside Financial Services, Llc | New York | NY | 03/2023 | Present |
1) 13D Management, LLC; New York, NY; Investment Related; Asset Management; Managing Director - Client Portfolio Specialist; promote the 13 Activist mutual fund and LP; 03/2023; 180 hrs/mo.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-12-12 |
| S63 | Uniform Securities Agent State Law Examination | 2004-10-08 |
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