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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-08-12 |
| NH | RA | APPROVED | 2019-02-04 |
Branch Locations
One Harbour Place Suite 325, Portsmouth, NH 03801 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets Corporation | Boston | MA | 03/2008 | 10/2016 |
| Rbc Capital Markets | Nashua | NH | 11/2016 | 12/2017 |
| Retired | Greemland | NH | 12/2017 | 01/2019 |
| Oppenheimer & Co | Portsmouth | NH | 01/2019 | Present |
1. A SINGLE BILLBOARD (ADVERTISING) LOCATED AT 4712 CAREY STREET, EAST CHICAGO, IN. I AM THE SOLE OWNER, I LEASE THE BOARD TO AN OUTDOOR ADVERTISING COMPANY AND COLLECT RENT. 2. TRUSTEE OF FAMILY TRUST 3. ACT AS BOOKKEEPER FOR LLC CALLED MOGUL VENTURES LLC SET UP BY MY WIFE TO OWN AND MANAGE A RENTAL PROPERTY IN CARR, COLORADO. MY ROLE AS BOOKKEEPER IS TO COLLECT RENTAL RENTS, MAKE BANK DEPOSITS, WRITE CHECKS TO PAY BILLS. 4. I WILL BE ACTING AS CO-TRUSTEE WITH MY WIFE ON OUR REVOCABLE LIVING TRUST. THIS INCLUDES WRITING CHEKCS, OWNING OUR HOMES AND OWINING SECURITIES. 5. TRUSTEE OF THE PORTSMOUTH REGIONAL HOSPITAL. NOT INVESTMENT RELATED. LOXATED IN PORTSMOUTH, NH. I STARTED ON JANUARY 8, 2026. 2 HOURS A MONTH, I WILL ATTEND MEETINGS. MY DUTIES ARE TO ATTEND MONTHLY MEETINGS AND TO ADVISE MANAGEMENT ON THE HOSPITALS COMMUNITY IMAGE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-04-07 |
| S63 | Uniform Securities Agent State Law Examination | 1984-06-29 |
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