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400 Park Avenue 10Th Floor, New York, NY 10022 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-02-07 |
| NJ | RA | APPROVED | 2022-07-14 |
| NY | RA | APPROVED | 2022-05-26 |
Branch Locations
400 Park Avenue 10Th Floor, New York, NY 10022 • United States
Ridgewood, NJ • United States
400 Park Avenue, New York, NY 10022 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rice Hall James & Associates, Llc | San Diego | CA | 03/2019 | 05/2022 |
| Hgk Asset Management | Jersey City | NJ | 06/2003 | 02/2019 |
| Cnr Securities, Llc | New York | NY | 05/2022 | Present |
(1) Name of Entity: Ridgewood House of Wellness, LLC; Non-investment related; Address: 185 W Ridgewood Ave Ridgewood, NJ 07450; Nature of OBA: Mental health therapy; Position/Title/Relationship: Other - This is my wife's business. I will be helping her with taxes and QuickBooks; Start Date: 08/01/2023; Time devoted: 4 hours per month; 0 during securities trading hours; Duties: Helping my wife with QuickBooks, taxes. (2) Name of Entity: Ridgewood House of Wellness, LLC; Non-investment related; Address: 185 W Ridgewood Ave Ridgewood, NJ 07450; Nature of OBA: Mental health therapy practice; Position/Title/Relationship: Other - Co-owner. This is my wife's business.; Start Date: 12/01/2024; Time devoted: 1-2 hours per month; 0 during securities trading hours; Duties: I'm listed as a co-owner for purposes of obtaining a lease related to a building we own. I help with payroll and capital allocation decisions. (3) Name of Entity: SERF Real Estate; Non-investment related; Address: 185 W Ridgewood Ave Ridgewood, NJ 07450; Nature of OBA: LLC for the purpose of owning and operating a mixed-use building (office and residential).; Position/Title/Relationship: Other - Owner. my wife and I opened this LLC in order to buy a mixed-use building. Expected closing date of 10/07/2024.; Start Date: 12/04/2024; Time devoted: 1-2 hours per month; 0 during securities trading hours; Duties: Owner, coordinate maintenance when needed.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2022-07-15 |
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