AR
Firm Information
Compensation
Fee-Only (AUM)
Number of Advisors
158 advisors
Number of Clients
10,401 clients
Average Client Portfolio
$245K average
Assets Under Management
$2.6B
Fee Structure
Financial Planning:Included in AUM fee
This firm provides access to wrap fee advisory programs. They also offer financial planning services to wrap fee clients at no additional charge. The firm also receives compensation from the Bank Deposit Sweep Program (BDSP), creating a conflict of interest.
Areas of Practice
Investment ManagementRetirement PlanningEstate Planning
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Advisor Information
Office location
89-01 Northern Boulevard, Jackson Heights, NY, 11372
Get directionsRegulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Santander Securities LLC Broker
July 2024 - Present · 1 yr 6 mos
Santander Securities
July 2024 - Present · 1 yr 6 mos
Previous Registrations
Citigroup Global Markets INC.
September 2022 - April 2024 · 1 yr 7 mos
Citigroup Global Markets INC. Broker
September 2022 - April 2024 · 1 yr 7 mos
Citizens Securities, INC.
August 2022 - September 2022 · 1 mo
Citizens Securities, INC. Broker
August 2022 - September 2022 · 1 mo
Cetera Investment Advisers LLC
April 2020 - August 2022 · 2 yrs 4 mos
Cetera Investment Services LLCBroker
April 2020 - August 2022 · 2 yrs 4 mos
Hsbc Securities (usa) INC.
August 2017 - April 2020 · 2 yrs 8 mos
Hsbc Securities (usa) INC. Broker
August 2017 - April 2020 · 2 yrs 8 mos
J.P. Morgan Securities LLC
May 2014 - July 2017 · 3 yrs 2 mos
J.P. Morgan Securities LLC Broker
May 2014 - July 2017 · 3 yrs 2 mos
Invest Financial CorporationBroker
May 2012 - May 2014 · 2 yrs
Invest Financial Corporation
May 2012 - May 2014 · 2 yrs
Capital One Financial Advisors LLC
July 2009 - April 2012 · 2 yrs 9 mos
Capital One Investment Services LLCBroker
December 1994 - April 2012 · 17 yrs 4 mos
Mds Securities IncorporatedBroker
December 1994 - April 1996 · 1 yr 4 mos
Invest Financial CorporationBroker
July 1993 - December 1994 · 1 yr 5 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker
May 1991 - May 1993 · 2 yrs
Lehman Brothers INC.Broker
October 1988 - May 1991 · 2 yrs 7 mos
State Registrations3 states
NJNYPA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.