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City Cranston / Warwick / / Currency USD / / Facility Pontiac Avenue John O. Pastore Complex / / / Organization Prometric Test Center / Location Pearson Vue Professional Center / Providence Plantations Department of Business Regulation Securities Division / FINRA / / Person Federally Covered / Waive Exam / / / Position Broker Dealer / Supervisor / Representative / NASAA Investment Adviser / SECURITIES LICENSES Broker Dealer / General / NASAA Combined State Law/Investment Adviser / Sales Representative / Adviser / Investment Adviser / Financial Planner Chartered Financial Consultant Certified Financial Specialist Certified Financial Analyst Chartered Investment Counselor / / ProvinceOrState Rhode Island / Rhode / / URL www.dbr.state.ri.us / / SocialTag 
State of Rhode Island and Providence Plantations Department of Business Regulation Securities Division 1511 Pontiac Avenue John O. Pastore Complex - Building 69-1 Cranston, RI 02920