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Current Employers
Osaic Institutions, Inc.

538 Preston Avenue, Meriden, CT 06450-4858 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2017-12-04
  • CT RA
    APPROVED
    Since 2017-12-04

Branch Locations

670 Main Street South, Woodbury, CT 06798 • United States

1336 East Main Street, Meriden, CT 06450 • United States

1751 Ellington Rd, South Windsor, CT 06074 • United States

500 West Main Street, Meriden, CT 06451 • 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
Lpl Financial, Llc Manchester CT 10/2012 09/2016
Key Investment Services Llc Manchester CT 09/2016 12/2017
Infinex Investments, Inc. Meriden CT 12/2017 Present
United Bank Hartford CT 12/2017 11/2019
Ion Bank South Windsor CT 11/2019 Present
  • 10/2012 → 09/2016
    Manchester, CT
  • 09/2016 → 12/2017
    Manchester, CT
  • 12/2017 → Present
    Infinex Investments, Inc.
    Meriden, CT
  • 12/2017 → 11/2019
    United Bank
    Hartford, CT
  • 11/2019 → Present
    Ion Bank
    South Windsor, CT
Previous Registrations
  • 2016-09-21 → 2017-12-11
    Manchester, CT
    Glastonbury, CT
    Manchester, CT
  • 2012-10-19 → 2016-09-21
    Manchester, CT
    Manchester, CT
    Manchester, CT
    Columbia, CT
    Hebron, CT
    Manchester, CT
    Hartford, CT
    Hartford, CT
    Rocky Hill, CT
    Wethersfield, CT
    East Hartford, CT
    Manchester, CT
    East Hartford, CT
    Manchester, CT
    Manchester, CT
    Manchester, CT
    Manchester, CT
    West Hartford, CT
    Columbia, CT
    Hebron, CT
    Glastonbury, CT
    West Hartford, CT
    Manchester, CT
  • 2008-09-30 → 2012-10-22
    Glastonbury, CT
  • 2008-04-23 → 2008-10-16
    Glastonbury, CT
    South Windsor, CT
    Stamford, CT
Other Businesses

1.) ION Bank. Yes, investment related. Banking. VP. Started Nov 2019. 160 hours per month.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-04-17
S63 Uniform Securities Agent State Law Examination 2002-07-03
  • S66 Uniform Combined State Law Examination
    2008-04-17
  • S63 Uniform Securities Agent State Law Examination
    2002-07-03

View on SEC IAPD

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