Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
2018201920202021202220232024202520262 FIRMS2022 - 2023 (1 year)3 FIRMS2023 - Present (1 year)
Disclosure(s)
View By:
9/14/2021
Financial
Final
8/11/2018
Criminal
Final Disposition
License(s)

State Registrations

B
New York 8/8/2023
IA
New York 8/8/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LINCOLN INVESTMENT (CRD#:519)
61 John Muir Dr. Ste. 100, Amherst, NY 14228
Registered with this firm since 8/8/2023
IA
CAPITAL ANALYSTS (CRD#:162200)
2293 Millersport Highway, Getzville, NY 14068
Registered with this firm since 8/8/2023
B
LINCOLN INVESTMENT (CRD#:519)
61 John Muir Dr. Ste. 100, Amherst, NY 14228
Registered with this firm since 8/8/2023
Previous Registration(s)
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IA
 10/20/2022 - 08/09/2023 EQUITABLE ADVISORS, LLC (CRD#:6627) WILLIAMSVILLE, NY
B
 08/15/2022 - 08/09/2023 EQUITABLE ADVISORS, LLC (CRD#:6627) WILLIAMSVILLE, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.