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105 Broadhollow Road, Melville, NY 11747 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-30 |
| TX | RA | APPROVED_RES | 2020-05-05 |
| FL | RA | APPROVED | 2020-01-02 |
Branch Locations
6501 Congress Avenue Suite 100, Boca Raton, FL 33487 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Melville | NY | 02/2009 | 08/2019 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 08/2019 |
| The Wealth Alliance, Llc | Melville | NY | 08/2019 | Present |
| Purshe Kaplan Sterling Investments, Inc. | Albany | NY | 08/2019 | Present |
1) THE WEALTH ALLIANCE, LLC. Investment Related. 6501 Congress Ave, Suite 100, Boca Raton FL 33487 and 3435 Windsor Place, Boca Raton FL 33496. RIA. President/Managing Director/Financial Advisors. Start 8/2019. 160 HRS/MO DEVOTED - 130 DURING TRADING. DUTIES ARE OVERSEEING OPERATIONS OF BUSINESS, RESPONSIBLE FOR BRINGING ON ADDITIONAL CLIENTS & ADVISORS. WILL COORDINATE THE MANAGEMENT AND INVESTMENT STRATEGIES OF CLIENTS' FINANCIAL AFFAIRS 2) BKA Financial. Investment Related. 24 West Water Street, Suite 200, Elmira NY 14901. Insurance. Agent. Start 01/2020. 2 hours per month during trading. Insurance agent. 3 )SONGS OF LOVE FOUNDATION. NON-INVESTMENT RELATED BUSINESS. LOCATED AT P.O. BOX 750809, FOREST HILLS, NY 11375. NATURE OF BUSINESS - CHARITABLE FOUNDATION. TITLE IS TO PLAN AND ORGANIZE ANNUAL GOLF OUTING. STARTED IN 2012. 3 HRS/MO DEVOTED - 0 DURING TRADING. DUTIES ARE TO HELP PLAN AND ORGANIZE THE ANNUAL GOLF OUTING. 4) E-Ditty Financial LLC 3435 Windsor Pl Boca Raton FL 33496. Holding Company. Owner. Investment related. Pass through entity for tax purposes. Member of LLC, oversee daily operations of the business as it pertains to activity being recorded for tax purposes. Start 6/1/2022 s hours/0 during trading. 5) Wealth Alliance Holdings LLC 105 Broadhollow Rd, Melville NY 11747. Holding Company. Indirect Owner through E-Ditty Financial LLC. I'm an indirect member of the LLC. I oversee the daily operations of the business as it pertains to activity being recorded for tax purposes. Start 6/1/2022 2 hours/0 during trading. 6) Ash Brokerage, 888 S. Harris St, Ste 900, Fort Wayne IN, 46802, Insurance Agency, Agent, sell/offer insurance, 1 hour/1 trading hour a month, start date 10/2019. 7) PKS Financial, 80 State St, Albany NY 122207, Insurance Agency, Agent, Sell or offer insurance, 1 hour/1 trading hour per month, start date 10/2019. 8) Southwest Annuities; 2650 McCormic Dr, ste 200S, Clearwater, FL, 22759; Insurance Agency; Agent; Sell/offer insurance; 1 hour/1 trading hour a month' 12/1/2022 9) Guardian Life. Investment Related. At registered location. Insurance. Agent. 7/5/2024. Hrs/month 1 all during trading hours. Agent 10) Fixed Insurance. Investment Related. At Registered Location. Fixed/ Traditional Insurance. Agent. Start Date: 09/09/24. 2 hrs/ month; all during trading hours. Provide advice to clients
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-01-13 |
| S65 | Uniform Investment Adviser Law Examination | 1995-06-08 |
| S63 | Uniform Securities Agent State Law Examination | 1985-12-12 |
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