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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-16 |
Branch Locations
1174 Veterans Memorial Hwy, Hauppauge, NY 11788 • United States
Brookhaven, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| People's Securities, Inc. | Bridgeport | CT | 05/2018 | 04/2020 |
| People's Securities, Inc. | Bridgeport | CT | 06/2017 | 08/2017 |
| Sacred Heart University | Fairfield | CT | 08/2014 | 05/2018 |
| Ameriprise Financial Services, Llc | Hauppauge | NY | 07/2020 | Present |
Outside Employment; Certainty of Uncertainty, LLC; Employee of legal entity; Compensation received from an advisor owned entity established to manage the practice.; 1174 Veterans Memorial Hwy, , Hauppauge, NY, 11788; Investment-Related; 01/01/2022; 60 hours per month; 60 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-01-25 |
| S63 | Uniform Securities Agent State Law Examination | 2019-05-07 |
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