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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2023-03-06 |
| TX | RA | APPROVED | 2023-02-24 |
Branch Locations
15 N Main St Ste 101, West Hartford, CT 06107 • United States
55 West Street Suite 201, Walpole, MA 02081 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2018-10-24 |
Branch Locations
15 North Main Street Suite 101, West Hartford, CT 06107 • United States
55 West Street Suite 201, Walpole, MA 02081 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Massmutual Life Insurance Company | West Hartford | CT | 04/2013 | 10/2018 |
| Mml Investors Services, Llc | West Hartford | CT | 05/2013 | 10/2018 |
| Securities America, Inc. | West Hartford | CT | 10/2018 | 12/2022 |
| The Patriot Financial Group, Llc | West Hartford | CT | 10/2018 | Present |
| Cetera Financial Specialists Llc | Schaumburg | IL | 12/2022 | Present |
| Riverside Retirement Advisors, Llc | West Hartford | CT | 10/2018 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 01/2023 | Present |
1.WEST HARTFORD YOUTH BASEBALL, NOT INVESTMENT RELATED, WEST HARTFORD, CT, PRESIDENT, OVERSEE THE LEAGUE, 10H/WEEK, SINCE 01/2022. 2.COMMUNITY HEALTH RESOURCES, NOT INVESTMENT RELATED, WINDSOR, CT, BOARD CHAIR, CHAIRMAN OF THE BOARD, 2H/WEEK, SINCE 07/2022 3.THE PATRIOT FINANCIAL GROUP, LLC, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, SEC REGISTERED INVESTMENT ADVISER, INVESTMENT ADVISER REPRESENTATIVE, ADVISORY BUSINESS, 40H/WEEK, SINCE 10/2018 4.RIVERSIDE RETIREMENT ADVISORS, LLC, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, OWNER, FOUNDING PARTNER, ADVISORY BUSINESS, 10/2018 5. NAME OF OTHER BUSINESS: N/A; INVESTMENT RELATED: NO; ADDRESS: 233 SHADY TREE LN, FAYSTON, VT 05673; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 2/2023; POSITION/TITLE/RELATIONSHIP: HOME OWNER; APX NUMBER OF HOURS PER WEEK: <1; APX NUMBER OF HOURS DURING TRADING HOURS: <1; BRIEF DESCRIPTION OF DUTIES: RENT VACATION PROPERTY PART TIME;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-05-21 |
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