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730 Third Avenue, New York, NY 10017-3206 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2023-05-17 |
Branch Locations
One Hamden Center 2319 Whitney Avenue, Suite 6A, Hamden, CT 06518 • United States
Madison, CT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Clearing Services, Llc | Field Rep | CT | 07/2008 | 10/2019 |
| Gwfs Equities, Inc | Greenwood Village | CO | 08/2021 | 04/2023 |
| Advised Assets Groups, Llc | Greenwood Village | CO | 08/2021 | 04/2023 |
| Unemployed | Madison | CT | 01/2020 | 08/2021 |
| Empower Advisory Group, Llc | Greenwood Village | CO | 08/2021 | 04/2023 |
| Empower Financial Services, Inc. | Greenwood Village | CO | 08/2021 | 04/2023 |
| Tiaa | Hamden | CT | 05/2023 | Present |
| Tiaa-Cref Individual & Institutional Services, Llc | Hamden | CT | 05/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-08-06 |
| S65 | Uniform Investment Adviser Law Examination | 1997-04-24 |
| S63 | Uniform Securities Agent State Law Examination | 1997-04-16 |
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