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York, PA • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2024-08-20 |
| TX | RA | APPROVED_RES | 2024-05-09 |
| PA | RA | APPROVED | 2024-04-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Elizabethtown College | Elizabethtown | PA | 01/2015 | 08/2017 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 02/2017 | 02/2024 |
| Northwestern Mutual Investment Services Llc | Lancaster | PA | 11/2017 | 02/2024 |
| Emerald Asset Management | Leola | PA | 01/2017 | 05/2017 |
| The Hershey Company | Hershey | PA | 06/2016 | 12/2016 |
| Saubel's Markets | Shrewsbury | PA | 01/2013 | Present |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 04/2018 | 02/2024 |
| Elizabethtown College | Elizabethtown | PA | 08/2014 | 12/2017 |
| Elizabethtown College | Elizabethtown | PA | 02/2024 | Present |
| Saubel Financial Group Llc | York | PA | 03/2024 | Present |
1. GENERAL EMPLOYMENT, SAUBEL'S MARKETS, 65 E. FORREST AVE, SHREWSBURY, PA, 17361, START DATE: 11/3/2020, FAMILY BUSINESS ADAM OCCASIONALLY WORKS FOR COMPENSATION, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5. NON-INVESTMENT RELATED. 2. INSURANCE AGENT, 2448 WILDON DR, YORK, PA 17403; START DATE: 1/2017, MAY EARN COMMISSIONS FROM INSURANCE COMPANIES FOR SALES OF NON-VARIABLE LIFE, HEALTH, ANNUITY AND/OR DISABILITY INCOME INSURANCE PRODUCTS. ESTIMATED HOURS PER MONTH: 5-10, HOURS DURING SECURITIES TRADING HOURS: 0-5. INVESTMENT RELATED. 3. INVESTMENT PROPERTY: OWNER W/ WIFE, 137 CORDILLO PARKWAY UNIT 7105, HILTON HEAD ISLAND, SC 29928; START DATE (PURCHASED) 7/2021; HOURS PER MONTH: APPX 1 HOUR PER MONTH. NON-INVESTMENT RELATED. 4. INVESTMENT PROPERTY: OWNER W/ WIFE, 1758 BARON DR., YORK, PA 17408; START DATE (PURCHASED) 3/2022; HOURS PER MONTH: APPX 3 HOURS PER MONTH. NON-INVESTMENT RELATED. 5. ADJUNCT PROFESSOR, ELIZABETHTOWN COLLEGE, 1 ALPHA DR., ELIZABETHTOWN, PA 17022, START DATE: 02/2024, HOURS PER MONTH: 1, HOURS DURING SECURITIES TRADING HOURS: 1, DUTIES: ACTIVE ON ROSTER FOR OCCASIONAL TEACHING CAPACITY. NON-INVESTMENT RELATED. 6. VICE CHAIR, YORK COUNTY CEREBRAL PASLY HOME, INC, DBA MARGARET E. MOUL HOME, 2050 BARLEY RD, YORK, PA 17408, NON-PROFIT, START DATE: 10/2018, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, HOURS DURING SECURITIES TRADING HOURS: 1, DUTIES: FIDUCIARY CAPACITY, ATTEND MEETINGS AND DECISION MAKING. NON-INVESTMENT RELATED. 7. BOARD CHAIR, CHILDREN'S AID SOCIETY, 636 W POPLAR ST, YORK, PA 17401, NON-PROFIT, START DATE: 2/2021, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, DUTIES: FIDUCIARY CAPACITY, GENERAL BOARD SUPPORT AND FUNCTIONALITY, REPORT FROM OFFICER MEETING TO ENTIRE BOARD. NON-INVESTMENT RELATED 8. BOARD MEMBER, LEADERSHIP YORK, 238 N GEORGE ST, YORK, PA 17401, START DATE: 07/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, DUTIES: FIDUCIARY CAPACITY, ATTEND MEETINGS AND DECISION MAKING. NON-INVESTMENT RELATED. 9. BOARD MEMBER, WELLSPAN YORK HOSPITAL AUXILIARY, 1001 S GEORGE ST, YORK, PA 17403, START DATE: 1/2021, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, DUTIES: FIDUCIARY CAPACITY, ATTEND MEETINGS AND DECISION MAKING. NON-INVESTMENT RELATED. 10: BOARD MEMBER, YORK COUNTY ESTATE PLANNING COUNCIL, A PROGRAM OF THE YORK COUUNTY BAR FOUNDATION, 137 E MARKET ST, YORK, PA 17401, START DATE: 5/2019, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, DUTIES: FIDUCIARY CAPACITY, ATTEND MEETINGS AND DECISION MAKING. NON-INVESTMENT RELATED. 11. TRUSTEE (ONE OF 3 TRUSTEES), SHREWSBURY MASONIC LODGE NO. 423, 79 E FORREST AVE, SHREWSBURY, PA 17361, START DATE: 1/2024, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, DUTIES: PRIMARILY RESPONSIBLE FOR OVERSEEING THE LODGE'S PROPERTY, ASSETS, AND LONG-TERM FINANCIAL STEWARDSHIP. INVESTMENT RELATED.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2017-12-28 |
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