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281 Farmington Avenue, Farmington, CT 06032-1911 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2012-03-07 |
| CT | RA | APPROVED | 2010-10-28 |
Branch Locations
281 Farmington Avenue, Farmington, CT 06032-1911 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Connecticut Wealth Management, Llc | Farmington | CT | 10/2010 | Present |
| Purshe Kaplan Sterling Investments, Inc. | Albany | NY | 01/2016 | Present |
1. 12/18/2012: REGISTERED INVESTMENT ADVISOR - CONNECTICUT WEALTH MANAGEMENT, LLC - FINANCIAL PLANNING SERVICES OFFERED FOR A FIXED FEE. INVESTMENT ADVISORY FEES RANGE FROM 1.25%-0.75% & ARE BASED ON THE MARKET VALUE OF AUM AT THE END OF EACH CALENDAR QUARTER. - (HYBRID) CONNECTICUT WEALTH MANAGEMENT, LLC - TIME SPENT 95% - FARMINGTON, CT. 2. 09/16/2015 - Ten One Ten, LLC - Real Estate Rental - not inv rel - 281 Farmington Avenue, Farmington, CT 06032 - start 07/14/2014 - 8 hrs/mo during secs trdg hrs. 3. Kevin C. Leahy is a trustee for several client accounts held at LPL. 1 hour a month is spent on this activity during trading hours. No time is spent outside of trading hours. He receives no yearly compensation for this activity. 4. University of Bridgeport. Not Investment Related. 126 Park Avenue, Bridgeport, CT 06004. University. Member of Board of Trustees. 02/2019. 5 Hrs/Mo; 0 During Trading Hours. General Duties of a Board Member.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2001-06-28 |
| S65 | Uniform Investment Adviser Law Examination | 2000-10-12 |
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