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One Financial Plaza 755 Main Street, Hartford, CT 06103 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2009-11-12 |
Branch Locations
One Financial Plaza 755 Main Street, Hartford, CT 06103 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Conning Research & Consulting, Inc. | Hartford | CT | 11/2005 | Present |
| Conning Asset Management Co. | Hartford | CT | 11/2005 | Present |
| Goodwin Capital Advisers, Inc. | Hartford | CT | 12/2011 | Present |
| Pearlmark Real Estate | Chicago | IL | 03/2023 | Present |
BlueBell Diablo Enterprises, LLC Owner of rental property with limited/no duties that is not securities/investment-related; with less than 5 hours/month devoted to this business. 6300 Torino Lane, Myrtle Beach, SC 29572 Chief Compliance Officer for Pearlmark Real Estate LLC, a real estate investment firm and an affiliate of Conning, of 200 West Madison Street #2800, Chicago, IL 60606, beginning March 2023. Role is investment related, and spends 15 hours per month during securities trading hours. Responsibilities include designing, implementing, and monitoring the processes by which the company will comply with all applicable laws and regulations.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-04-27 |
| S65 | Uniform Investment Adviser Law Examination | 1999-07-23 |
| S63 | Uniform Securities Agent State Law Examination | 1990-05-15 |
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