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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2024-01-18 |
| FL | RA | APPROVED | 2024-01-04 |
| CT | RA | APPROVED | 2024-01-03 |
| NY | RA | APPROVED | 2024-01-03 |
| NJ | RA | APPROVED | 2023-08-29 |
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 |
|---|---|---|---|---|
| E D & F Man Capital Markets Inc. | New York | NY | 11/2011 | 02/2023 |
| Guardian Life Insurance | Wall | NJ | 07/2023 | Present |
| Park Avenue Securities | Wall | NJ | 07/2023 | Present |
| C & A Financial Group, Llc | Wall | NY | 02/2023 | 07/2023 |
1. PJM Capital Management LLC, Managing Member, Entity used to purchase real estate, Start Date: 02/06/2008, Address: 100 Church Street Little Silver NJ 07739, More than 10% annual compensation, 10 total business hours per month, 8 during securities trading hours, Investment Related, 2. PJM Family Investments LLC, Manager, Start Date: 10/18/2016, Address: 100 Church Street Little Silver NJ 07739, No annual compensation, 5 total business hours per month, 2 during securities trading hours, Investment Related, 3. YMCA of Greater Monmouth County, Board Member, Start Date: 10/02/2012, Address: 170 Patterson Avenue, Shrewsbury, NJ 07702, No annual compensation, 5 total business hours per month, 2 during securities trading hours, Investment related, 4. Core One Consulting LLC, Business Planning Services, Start Date: 08/30/2023, Address: 100 Church Street Little Silver NJ 07739, More than 10% annual compensation, 8 total business hours per month, 2 during securities trading hours, Not Investment Related, 5. PWS Group LLC, 25% owner, LLC created to facilitate payroll and health benefits for administrative staff, Start Date: 10/18/2023, Address: 211 Route 34 South Wall NJ 07719, No annual compensation, 2 total business hours per month, 0 during securities trading hours, Not Investment Related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-08-22 |
| S63 | Uniform Securities Agent State Law Examination | 1992-04-06 |
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