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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-30 |
| TX | RA | APPROVED_RES | 2021-06-10 |
Branch Locations
300 Corporate Pkwy Suite 216N, Amherst, NY 14226 • United States
Elma, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| David Chevrolet And Buick | Niagara Falls | NY | 12/2013 | 02/2018 |
| Transit Drive In | Lockport | NY | 05/2015 | 08/2017 |
| 716 Fish Pros | Amherst | NY | 01/2017 | 03/2018 |
| University At Buffalo | Buffalo | NY | 09/2015 | 06/2019 |
| Northwestern Mutual Life Insurance Company | Williamsville | NY | 12/2017 | 05/2021 |
| Northwestern Mutual Investment Services Llc | Williamsville | NY | 11/2018 | 05/2021 |
| Northwestern Mutual Wealth Management Company | Williamsville | NY | 03/2020 | 05/2021 |
| Massmutual Life Insurance Co | Amherst | NY | 05/2021 | Present |
| Mml Investors Services, Llc | Amherst | NY | 05/2021 | Present |
1)Name: Big Fish Advisor aka: Financial Minds, Inv Rel: Y Addr: @ residential address on file, Nature:Social Media Marketing, Position: Founder, Start: 07/01/2021 No Hr/Mo: 20 No Hr/Mo Dur Trading:20, Duties: General management and oversight of the business.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-08-30 |
| S63 | Uniform Securities Agent State Law Examination | 2019-06-01 |
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