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11 Balmville Rd. Suite 2 North, Newburgh, NY 12550-1911 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-10-12 |
Branch Locations
11 Balmville Rd. Suite 2 North, Newburgh, NY 12550-1911 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Focused Wealth Management, Inc. | Highland | NY | 01/2018 | Present |
| Binghamton University | Binghamton | NY | 09/2013 | 12/2017 |
| Securities America, Inc | Newburgh | NY | 04/2021 | 06/2024 |
| Osaic Wealth, Inc. | Newburgh | NY | 06/2024 | Present |
FOCUSED WEALTH MANAGEMENT POSITION: Administrative Assistant NATURE: IRIA INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 32 START DATE: 01/08/2018 ADDRESS: 11 Balmville Road, Newburgh NY 12550, United States DESCRIPTION: Administrative Assistant. Assisting advisor's clients with various clerical tasks. SWANSON CAPITAL, INC. POSITION: OWNER NATURE: S CORP FOR COMPENSATION PURPOSES ADDRESS- 376 Carter Ave Newburgh, NY 12550 INVESTMENT RELATED: NO HOURS: 3 TRADING HOURS: 0
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2024-03-29 |
| S65 | Uniform Investment Adviser Law Examination | 2019-04-30 |
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