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Current Employers
Knights Of Columbus Asset Advisors Llc

One Columbus Plaza, New Haven, CT 06510 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2021-05-07
  • CT RA
    APPROVED
    Since 2021-05-07

Branch Locations

One Columbus Plaza, New Haven, CT 06510 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Knights Of Columbus Asset Advisors Llc New Haven CT 06/2017 Present
Foreside Fund Services, Llc New Haven CT 07/2017 12/2020
Unemployed Harrison NY 07/2016 06/2017
Vigilant Distributors, Llc Chadds Ford PA 01/2021 Present
  • 06/2017 → Present
    New Haven, CT
  • 07/2017 → 12/2020
    Foreside Fund Services, Llc
    New Haven, CT
  • 07/2016 → 06/2017
    Unemployed
    Harrison, NY
  • 01/2021 → Present
    Vigilant Distributors, Llc
    Chadds Ford, PA
Other Businesses

1) Knights of Columbus Asset Advisors LLC; New Haven, CT; Investment Related; Began 06/26/2017; Business development and marketing for asset advisor; Director of Marketing; Prospecting/pitching institutional clients as it pertains to KOCAA capabilities. Marketing and business development; 200 hours per month with 130 hours during securities trading hours. 2) Knights of Columbus Charitable Fund; Investment Related; Philanthropic solutions; New Haven, CT; Start 12/2019; Director of Marketing; Marketing to potential donors; 20 hours per month.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-06-03
S63 Uniform Securities Agent State Law Examination 2000-09-28
  • S66 Uniform Combined State Law Examination
    2021-06-03
  • S63 Uniform Securities Agent State Law Examination
    2000-09-28

View on SEC IAPD

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