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1200 17Th Street Suite 2000, Denver, CO 80202 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-03-04 |
Branch Locations
1200 17Th Street Suite 2000, Denver, CO 80202 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Ayco Company Lp | Albany | NY | 07/2016 | 02/2018 |
| Wells Fargo Clearing Services Llc | Albany | NY | 07/2018 | 10/2020 |
| Unemployed | Albany | NY | 02/2018 | 07/2018 |
| Greenbusch Financial Group | Albany | NY | 12/2020 | 10/2021 |
| American Portfolios Financial Services, Inc. | Albany | NY | 01/2020 | 10/2021 |
| Purshe Kaplan Sterling Investments, Inc | Albany | NY | 12/2021 | 04/2024 |
| Pks Advisory Services | Albany | NY | 12/2021 | 04/2024 |
| Goldman Sachs | Albany | NY | 07/2016 | 02/2018 |
| Mhoc, Llc | Albany | NY | 05/2024 | 11/2024 |
| James' Lawn Service | Halfmoon | NY | 06/2015 | Present |
| Northwestern Mutual Investment Services Llc | Albany | NY | 07/2024 | 11/2024 |
| Mercer Global Advisors Inc. | Halfmoon | NY | 02/2025 | Present |
1.Life, Accident & Health, and Variable Products Insurance Licenses; Investment related; Halfmoon, NY; Insurance Licenses; Insurance Producer; 03/11/2024; Less than 1 hour per month; Currently holds active insurance licenses. 2. James' Lawn Service; Not investment related; Halfmoon, NY; Boutique lawn service; Owner; 06/01/2015; 12 hours per month; 0 hours during securities trading hours; Perform general lawn maintenance.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-11-21 |
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