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One Columbus Plaza, New Haven, CT 06510 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2026-08-19 |
| MA | RA | APPROVED | 2022-11-17 |
| DC | RA | APPROVED | 2022-10-17 |
| AZ | RA | APPROVED | 2022-07-26 |
| NV | RA | APPROVED | 2022-07-22 |
| GA | RA | APPROVED | 2022-07-19 |
| ND | RA | APPROVED | 2022-07-19 |
| WV | RA | APPROVED | 2022-07-19 |
| NE | RA | APPROVED | 2022-07-14 |
| NM | RA | APPROVED | 2022-07-14 |
| UT | RA | APPROVED | 2022-07-14 |
| VT | RA | APPROVED | 2022-07-14 |
| AL | RA | APPROVED | 2022-07-13 |
| AR | RA | APPROVED | 2022-07-13 |
| CA | RA | APPROVED | 2022-07-13 |
| CO | RA | APPROVED | 2022-07-13 |
| DE | RA | APPROVED | 2022-07-13 |
| HI | RA | APPROVED | 2022-07-13 |
| ID | RA | APPROVED | 2022-07-13 |
| IL | RA | APPROVED | 2022-07-13 |
| IN | RA | APPROVED | 2022-07-13 |
| IA | RA | APPROVED | 2022-07-13 |
| KS | RA | APPROVED | 2022-07-13 |
| KY | RA | APPROVED | 2022-07-13 |
| LA | RA | APPROVED | 2022-07-13 |
| ME | RA | APPROVED | 2022-07-13 |
| MD | RA | APPROVED | 2022-07-13 |
| MI | RA | APPROVED | 2022-07-13 |
| MN | RA | APPROVED | 2022-07-13 |
| MS | RA | APPROVED | 2022-07-13 |
| MT | RA | APPROVED | 2022-07-13 |
| NH | RA | APPROVED | 2022-07-13 |
| NJ | RA | APPROVED | 2022-07-13 |
| NY | RA | APPROVED | 2022-07-13 |
| NC | RA | APPROVED | 2022-07-13 |
| OH | RA | APPROVED | 2022-07-13 |
| OK | RA | APPROVED | 2022-07-13 |
| OR | RA | APPROVED | 2022-07-13 |
| PA | RA | APPROVED | 2022-07-13 |
| SC | RA | APPROVED | 2022-07-13 |
| TX | RA | APPROVED | 2022-07-13 |
| VA | RA | APPROVED | 2022-07-13 |
| WA | RA | APPROVED | 2022-07-13 |
| WI | RA | APPROVED | 2022-07-13 |
| WY | RA | APPROVED | 2022-07-13 |
| CT | RA | APPROVED | 2021-03-15 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Knights Of Columbus Insurance | New Haven | CT | 08/2015 | Present |
| Foreside Fund Services, Llc | New Haven | CT | 02/2016 | 12/2020 |
| Herald Investment Marketing, Llc | Chadds Ford | PA | 01/2021 | Present |
| Knights Of Columbus Council 3928 | 390 S Union St | CT | 07/2020 | Present |
| Knights Of Columbus Asset Advisors Llc | New Haven | CT | 03/2021 | Present |
1) Vigilant Distributors; 223 Wilmington West Chester Pike #216, Chadds Ford, PA 19317; Investment Related; Registered Representative; Started 01/2021; Less than 5 hours a month. 2) St. George Parish Knights of Columbus Council 3928; Guilford, CT; non investment related; Began 7/01/2023; Member; 1 hour per month; zero hours during securities trading hours. 3) Knights of Columbus Charitable Fund; Investment Related; Philanthropic; New Haven, CT; Started 02/2020; Director of Marketing; Sales, marketing, client service support for donor advised funds; 5 hours per month. 4) Knights of Columbus Insurance; Vice President; Non-Investment Related; Started 08/2015; 80 hours monthly; New Haven, CT. 5) St. George Parish; Guilford, CT; non investment related; Began 6/19/2018; Position: Finance Council member; Began 1/1/2022; Position: Trustee; 2 hours a month; Review and vote on material administrative decisions for the parish; attest to procedures that were used to make material administrative decisions and provide advice and counsel on parish matters.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-08-21 |
| S63 | Uniform Securities Agent State Law Examination | 2001-12-20 |
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