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677 Broadway 7Th Floor, Albany, NY 12207 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-09-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Independent Family Office, Llc | Albany | NY | 01/2005 | Present |
1) BOARD OF DIRECTORS FOR KASPIEN HOLDINGS, INC.; 1/2016; INVESTMENT-RELATED; SAME ADDRESS; MANAGING MEMBER; PROVIDES BOARD WITH FINANCIAL AND INVESTMENT EXPERTISE; 3 HOURS PER MONTH 2) PRIVATE PLACEMENT INVESTMENT VEHICLE; 4/30/2024; INVESTMENT-RELATED; SAME ADDRESS; INVESTMENT MANAGER; 1 HOUR PER MONTH
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-09-05 |
| S63 | Uniform Securities Agent State Law Examination | 1989-01-07 |
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