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1705 Seventeenth Street Suite 100, Denver, CO 80202 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VT | RA | APPROVED | 2021-08-17 |
Branch Locations
1705 Seventeenth Street Suite 100, Denver, CO 80202 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Richards, Inc. | Brattleboro | VT | 08/1998 | Present |
| Cambridge Investment Research, Inc | Fairfield | IA | 05/2006 | 08/2021 |
| Cambridge Investment Research Advisors, Inc | Fairfield | IA | 05/2006 | 08/2021 |
| Trg Investment Advisors, Llc | Brattleboro | VT | 08/2021 | Present |
1)INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 2)MESABI, LLC, 28 VERNON STREET, SUITE 501, BRATTLEBORO, VT 05301 SINCE 01/01/13, PARTNER, 5 HRS/WEEK, 4 HOURS DURING TRADING. PROPERTY DEVELOPMENT OF HISTORIC BUILDING THAT SUFFERED FROM FIRE IN SPRING OF 2011. 3) RICHARDS INC., 48 HARRIS PL, BRATTLEBORO, VT, 7/1998 AS VP OF FINANCIAL SERVICES. INV REL - 50 HR/WK - 40/TRADING. 4) 401k trustee for The Richard's Group plan (employer), Brattleboro, VT, 10/2015. INV REL - 1 HR/MO - 1/TRADING. 5)1820 HOUSE-NORWICH LLC, 326 MAIN ST, NORWICH, VT, 8/2008 AS OWNER OF LLC THE OWNS OFFICE BUILDING. NIR - 2 HR/MO - 2/TRADING. 6)116 SOUTH STREET LLC, 116 S ST, BENNINGTON, VT, 1/2016 AS OWNER OF LLC THAT OWNS OFFICE BUILDING. NIR - 1 HR/MO - 1/TRADING. 7) REAL ESTATE- LANDLORD- 92 CENTER STREET, LLC, RUTLAND VT, 11/2018 OWNER-NIR- 1/MO- 1/TRADING 8) REAL ESTATE- LANDLORD- 94 COURT STREET, LLC, RUTLAND VT, 01/2019 OWNER-NIR- 1/MO- 1/TRADING 9) 51 RAILROAD, LLC; 51 RAILROAD STREET, KEENE, NH 03431, 06/2022 AS PARTNER; 1/MO- 1/TRADING
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1998-08-24 |
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