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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2017-10-25 |
| TX | RA | APPROVED | 2017-10-25 |
Branch Locations
30 Batterson Park Road Suite 350, Farmington, CT 06032 • United States
West Hartford, CT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Farmington | CT | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Farmington | CT | 11/2016 | 10/2017 |
| Rbc Capital Markets, Llc | Farmington | CT | 10/2017 | Present |
(1)TRUSTEE FOR BROTHER, INV RELATED, WEST HARTFORD, CT, START: 7/2006, 1 DURING TRADING. (2) NAME: Harc Foundation Inc Non-Investment Related ADDRESS: 900 Asylum Avenue, Hartford, CT, 06015 Nature of OBA: Harc provides support for a lifetime to individuals with intellectual and related disabilities Title/Position/Relationship: Board of Directors * Start Date: 09/01/22 Time Devoted: 1 hour; 0 during securities trading DUTIES: Monitoring the Foundation, providing oversight of the investment management of the Foundation. (3) NAME OF ENTITY: The Elms at Whispering Pines LLC ADDRESS: 65 Stoner Drive, West Hartford, CT, 06107 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION Rental - Beach House CAPACITY : Other; My wife and I will be closing on a beach house in April of 2024. The beach house will be in a LLC where my wife is the sole member/owner. We are considering renting the property during the year. START DATE: 06/01/2024 DUTIES: Will be involved with some of the rental activity of the property.. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-12-19 |
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