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2200 Century Parkway Suite 500, Atlanta, GA 30345 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2016-07-20 |
Branch Locations
Alpharetta, GA • United States
Five Concourse Parkway Suite 3000, Atlanta, GA 30328 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Strategic Financial Alliance, Inc. | Atlanta | GA | 07/2016 | Present |
| Carlyle Wealth Planning, Inc. | Atlanta | GA | 07/2016 | Present |
(1) RUBIN FINANCIAL SERVICES, INC; NOT INVESTMENT RELATED; 50 CHEVAUX CT. NW, ATLANTA, GA 30342; MGT OF COMMISSIONS AND BUSINESS EXPENSES; PRESIDENT; BEGAN JANUARY 1990; 1-3 HOURS PER MONTH INCLUDING DURING TRADING HOURS; FINANCIAL MANAGEMENT OF CORPORATE ENTITY. (2) MEDICARE BACKOFFICE, NOT INVESTMENT RELATED, 8420 W. DODGE RD., STE 510 OMAHA, NE 68114, INSURANCE AGENCY PROVIDING MEDICARE ADVICE AND INSURANCE SERVICES, REFERRAL SOURCE, 04/2017, 1 HOUR/MONTH, DURING TRADING, REFER CLIENTS WHO NEED HELP WITH MORE COMPLEX MEDICARE QUESTIONS. (3) CARLYLE WEALTH MANAGEMENT; INVESTMENT RELATED; FIVE CONCOURSE PARKWAY - SUITE 3000, ATLANTA, GA 30328; THE DBA THAT IS USED IN CONJUNCTION WITH SFA, INC. TO REPRESENT MYSELF AS A REGISTERED REPRESENTATIVE IN ALL OF MY SECURITIES RELATED BUSINESS & COMMUNICATION WITH THE GENERAL PUBLIC & MY CLIENTS; BEGAN 3-2012; APPROXIMATELY 160 HOURS PER MONTH WILL BE SPENT ON THIS ACTIVITY PRIMARILY DURING TRADING HOURS; DBA. (4) FIXED LIFE INSURANCE, ANNUITIES OR LTC INSURANCE; NOT INVESTMENT RELATED; 50 CHEVAUX COURT NW, ATLANTA,GA; BEGAN 3/2012. FIXED INSURANCE BUSINESS; AGENT; 0-10 HOURS PER WEEK SPENT ON THIS ACTIVITY, 0-10 HOURS DURING TRADING; INSURANCE SALES. (5) FUTURE, INC.; INVESTMENT RELATED; NO ADDRESS; INVESTMENT/SOCIAL CLUB; ON BOARD IN A SOCIAL CAPACITY PLANNING EVENTS; BEGAN ACTIVITY 1/2011; SPEND APPROXIMATELY 2-3 HOURS/MONTH ON ACTIVITY WHICH MAY OR MAY NOT BE DURING TRADING HOURS; HELP PLAN EVENTS. (6) CARLYLE WEALTH PLANNING, RIA FIVE CONCOURSE PARKWAY INVESTMENT RELATED: YES NATURE: ENTITY THROUGH WHICH FINANCIAL PLANNING IS CONDUCTED. POSITION: OFFICER DUTIES: GATHERING & ANALYZING CLIENT DATA IN ORDER TO STRUCTURE A FINANCIAL PLAN WHEN CIRCUMSTANCES WARRANT IT. APPROXIMATE HOURS PER MONTH: 20 APPROXIMATE HOURS DURING SECURITIES TRADING HOURS: 20
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-05-02 |
| S63 | Uniform Securities Agent State Law Examination | 1987-04-10 |
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