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475 Springfield Ave, Summit, NJ 07901 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2019-11-05 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Heartland Capital, Inc. | Lake St Louis | MO | 08/2019 | 11/2019 |
| The Leaders Group, Inc. | Littleton | CO | 11/2019 | Present |
| Nylife Securities, Inc. | San Francisco | CA | 04/1999 | 08/2019 |
| New York Life Insurance Company | San Francisco | CA | 02/1999 | 08/2019 |
1.) INDEPENDENT INSURANCE AGENT - 8/1/2019 - 1666 S Wolfe Road, Sunnyvale, CA 94087 - Insurance agent, Selling insurance, Not Invt Rel, Insurance business, 60 hrs/mo; 10 hrs/mo (during trading hours). 2.) TLG ADVISORS, INC - 11/4/2019 - 26 W Dry Creek Circle, Suite 800, Littleton, CO 80120 - IAR Rep, Invt Rel, IAR Business, 10 hrs/mo; 10 hrs/mo (during trading hours).
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-05-24 |
| S63 | Uniform Securities Agent State Law Examination | 1999-06-03 |
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