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1 Vanderbilt Avenue 23Rd Floor, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2026-01-29 |
| CT | RA | APPROVED | 2022-08-02 |
Branch Locations
1361 Boston Post Road, Milford, CT 06460 • United States
203 Trumbull Street, Hartford, CT 06103 • United States
1 disclosure category 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 |
|---|---|---|---|---|
| Td Bank N.A. | Waterbury | CT | 06/2022 | Present |
| Td Private Client Wealth Llv | Westbury | CT | 06/2022 | Present |
| Td Bank | Hamden | CT | 06/2012 | 06/2022 |
10/01/2001 - Connecticut Hurricanes Drum and Bugle Corps - 72 Prospect Street, Ansonia, CT 06401. Not Investment Related. It is a non-profit that I am the current Chairman of the Board. I devote an average of 4 hours per month with which no hours are devoted during trading hours. As Chairman of the Board I help to oversee the budget and set up policies for operations.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2025-06-03 |
| S65 | Uniform Investment Adviser Law Examination | 2022-08-02 |
| S66 | Uniform Combined State Law Examination | 2001-01-05 |
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