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400 West Metro Park, Rochester, NY 14623 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2025-02-19 |
Branch Locations
One Blue Hill Plaza #1509-75, Pearl River, NY 10965 • 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 |
|---|---|---|---|---|
| Invest Financial Corp. | Tampa | FL | 02/2009 | 02/2018 |
| Lpl Financial Llc | Norwalk | CT | 02/2018 | 06/2019 |
| Coastal Equities, Inc. | Wilmington | DE | 08/2019 | 12/2022 |
| Lifemark Securities Corp. | Rochester | NY | 01/2023 | Present |
| Independent Insurance Agent | Ephrata | PA | 08/2019 | Present |
| Business Broker | Ephrata | PA | 07/2005 | Present |
| Southbay Energy | Ephrata | PA | 08/2019 | Present |
| Rererrer Of Loan Companies | Ephrata | PA | 08/2019 | Present |
ALL OUTSIDE BUSINESS ACTIVITIES CONDUCTED FROM 242 MASON DRIVE, EPHRATA, PA 17522 1. BUSINESS BROKERING / NOT INVESTMENT RELATED / START 07/2005 / 5 HOURS/MONTH / 0 HOURS/MONTH DURING TRADING HOURS / ASSIST SMALL BUSINESS OWNERS IN SELLING THEIR BUSINESS. RECEIVES REFERRAL FEE FROM VENDORS PROVIDING THE SERVICE. 2. SOUTHBAY ENERGY / NOT INVESTMENT RELATED / START 08/2019 / 5 HOURS/MONTH / 0 HOURS/MONTH DURING TRADING HOURS / RECEIVES A REFERRAL COMMISSION IF THE VENDOR IS CHOSEN TO PROVIDE ENERGRY SERVICE. 3. LOANS/ COMMERICAL/ BUSINESS/ RESIDENTIAL/ REVERSE / NOT INVESTMENT RELATED / PROSPECT FOR REFERENCED TYPE OF LOANS; THEWALDENGROUP.BIZ, LIGHTHOUSEMORTGAGECORP.COM, BOEMORTGAGE.COM; COMPENSATION IN THE FORM OF FINDERS FEES / START 08/2019 / 5 HOURS/MONTH / 0 HOURS/MONTH DURING TRADING HOURS. 4. INDEPENDENT INSURANCE AGENT / INVESTMENT RELATED / START 08/2019 / 5 HOURS/MONTH / 0 HOURS/MONTH DURING TRADING HOURS / SALES AND SERVICE OF LIFE, DISABILITY, LTC, HEALTH, MEDICARE AND MEDICAID INSURANCE PRODUCTS USING MULTIPLE RESOURCES INCLUDING THE MASON AGENCY OR CAPITAL BROKERAGE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-01-30 |
| S63 | Uniform Securities Agent State Law Examination | 1988-10-03 |
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