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Current Employers
Osaic Institutions, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2015-09-29
  • CT RA
    APPROVED
    Since 2015-09-29

Branch Locations

1751 Ellington Rd, South Windsor, CT 06074 • 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
United Bank Glastonbury CT 09/2015 11/2019
Infinex Investments, Inc. Meriden CT 09/2015 Present
Ion Bank Manchester CT 11/2019 Present
  • 09/2015 → 11/2019
    United Bank
    Glastonbury, CT
  • 09/2015 → Present
    Infinex Investments, Inc.
    Meriden, CT
  • 11/2019 → Present
    Ion Bank
    Manchester, CT
Previous Registrations
  • 2010-05-21 → 2015-09-30
    South Windsor, CT
    Vernon, CT
    Chicopee, MA
    Danielson, CT
    East Longmeadow, MA
    Ludlow, MA
    Norwalk, CT
    Putnam, CT
    Shelton, CT
    Westport, CT
    West Springfield, MA
    Woodstock, CT
    S Windsor, CT
    Harleysville, PA
    Spring House, PA
    New Haven, CT
    Manchester, CT
    Stratford, CT
    West Haven, CT
    Dayville, CT
    Hamden, CT
    Hartford, CT
    Windsor, CT
    East Hartford, CT
    Hebron, CT
  • 2008-09-17 → 2010-05-17
    Audubon, PA
    Hilton Head Island, SC
    North Wales, PA
    Phoenixville, PA
  • 2008-06-04 → 2008-09-03
    Raymond James Financial Services, Inc.
    Allentown, PA
    Lancaster, PA
  • 2008-04-14 → 2008-06-05
    Cetera Investment Services Llc
    Allentown, PA
Other Businesses

1.) ION Bank. Yes, investment related. Program manager. Manage Investment program. Started Nov 2019. Approx 136 hours per week all during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-04-09
S63 Uniform Securities Agent State Law Examination 2003-06-20
  • S65 Uniform Investment Adviser Law Examination
    2008-04-09
  • S63 Uniform Securities Agent State Law Examination
    2003-06-20

View on SEC IAPD

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