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Attn: Compliance Dept. 225 S. Lake Ave Penthouse, Pasadena, CA 91101 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-04 |
| NJ | RA | APPROVED | 2019-07-05 |
Branch Locations
110 Front Street, Suite 311, Jupiter, FL 33477 • United States
142 West 57Th Street 12Th Fl, New York, NY 10019 • United States
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 |
|---|---|---|---|---|
| Ubs | Melville | NY | 04/2008 | 12/2017 |
| N/A | Englewood | NJ | 01/2018 | 08/2018 |
| Lpl Financial, Llc | Paramus | NJ | 09/2018 | 06/2019 |
| Gladstone Institutional Advisory (Dba: Gladstone Wealth Group) | Paramus | NJ | 09/2018 | 06/2019 |
| Due Dilligence | Englewood | NJ | 01/2018 | 09/2018 |
| Wedbush Securities Inc. | New York | NY | 06/2019 | Present |
| Onward Advisors | New York | NY | 01/2022 | Present |
1). BiCoastal Wealth Management; Investment Related; New York, NY; Sole Proprietorship; DBA; Member of the Advisory Board; Start 10/15/2021; Hours devoted per month, 2; Hours devoted during trading, 0 (zero); Duties are to advise on business structure, branding, etc. 2). Onward Advisors; Investment Related; New York, NY; RIA; Subsidiary of WS; Start: 01/2022; Approx: 2 hours a month devoted; Duties: Principal-Chief Growth Officer.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-10-26 |
| S63 | Uniform Securities Agent State Law Examination | 1986-03-05 |
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