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1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2022-12-21 |
| TX | RA | APPROVED_RES | 2022-12-13 |
Branch Locations
41-B New London Turnpike Ste. 301, Glastonbury, CT 06033 • United States
3 disclosure categories 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 |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Co. | Milwaukee | WI | 08/1987 | 02/2020 |
| Northwestern Mutual Investment Services, Llc | Glastonbury | CT | 10/1987 | 02/2020 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 09/2013 | 02/2020 |
| Cantella & Co., Inc. | Malden | MA | 04/2020 | 05/2023 |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 12/2022 | Present |
| Cambridge Investment Research, Inc. | Fairfield | IA | 12/2022 | Present |
| Cantella & Co., Inc. | Malden | MA | 04/2020 | 12/2022 |
1) LAKE ROAD ASSOCIATES LLC, GLASTONBURY, CT, 10/2013, OWNER, REAL ESTATE, NIR, 1 HR/MO, 0 HR/MO TRADING. 2) 94 MAIN STREET ASSOCIATES LLC, GLASTONBURY, CT, 10/2013, OWNER, REAL ESTATE, NIR, 2 HR/MO, 0 HR/MO TRADING. 3) HEBRON NLT HOLDINGS LLC, GLASTONBURY, CT, 11/2013, OWNER, REAL ESTATE, NIR, 0 HR/MO, 0 HR/MO TRADING. 4) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 11/2022, INVESTMENT ADVISORY REP OF AN RIA, INV REL, 160 HR/MO, 120 HR/MO TRADING. 5) JACKSON GORE OKEMO, HEBRON, CT, 11/2001, OWNER, REAL ESTATE, NIR, 0 HR/MO, 0 HR/MO TRADING. 6) SIX F'S ASSOCIATES LLC, 41-B NEW LONDON TURNPIKE, GLASTONBURY, CT, 11/2011, OWNER, REAL ESTATE, NIR, 2 HR/MO, 0 HR/MO TRADING. 7) GLEN LOCHEN OFFICE CONDOMINIUM ASSOCIATION LLC, 41-A NEW LONDON TURNPIKE, GLASTONBURY, CT, 01/2010, MEMBER, REAL ESTATE, NIR, 0 HR/MO, 0 HR/MO TRADING. 8) FOCHI FINANCIAL SERVICES LLC, 41-B NEW LONDON TURNPIKE, SUITE 301, GLASTONBURY, CT, 12/2013, OWNER, DBA, INV REL, 250 HR/MO, 160 HR/MO TRADING. 9) FOCHI FINANCIAL SERVICES, LLC, 41-B New London Turnpike, Suite 301, Glastonbury CT 06033, United States, 12/31/2013, Owner, Insurance/Benefits/Human Resources, NIR, 8 HR/MO - 0 HR/MO TRADING
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-05-24 |
| S63 | Uniform Securities Agent State Law Examination | 1994-03-09 |
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