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1166 Avenue Of The Americas, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2024-10-17 |
| TX | RA | APPROVED | 2024-08-19 |
| CT | RA | APPROVED | 2024-08-02 |
Branch Locations
101 Huntington Ave Suite 401, Boston, MA 02199 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Prudential Investment Managment Services Llc | Hartford | CT | 09/2004 | 06/2018 |
| Prudential Insruance Company Of America | Hartford | CT | 09/2004 | 06/2018 |
| Marsh & Mclennan Agency | Boston | CT | 06/2018 | Present |
| Prudential Retirement | Hartford | CT | 04/2002 | 06/2018 |
| Mma Securities Llc | Boston | MA | 06/2018 | Present |
1) Capital Preparatory Schools Charter Mgmt Organization; 777 Main Street, Bridgeport, CT 06604; Board Chair; Not Investment related; Start Date: 2007; # of hours per month - 3; # of hours per month during trading hours - 0; Coordinates board governance processes including meeting minutes and school initiatives. 2) WIPN - WE. Inspire. Promote. Network.; Co-Chair of the Hartford Chapter; wipn.org; not investment-related; Start Date: April 2008; 1 hour spent per month; 0 hours spent per month during trading hours; primary duties include informing members of organized meetings. 3) Retirement Advisor Council; retirementadvisor.us; Chair of the Financial Literacy Committee; Investment Related; Start Date: Jan 1, 2022; 3 hours spent per month; 1 hour per month during trading hours; primary duties include working with committee of volunteers to develop financial literacy volunteer education initiatives.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-07-19 |
| S63 | Uniform Securities Agent State Law Examination | 2004-07-27 |
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