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103 Albert Street, Torrington, CT 06790 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2006-06-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Purshe Kaplan Sterling Investments | Torrington | CT | 03/2006 | 10/2017 |
| Barron Financial Group, Llp | Torrington | CT | 03/2006 | Present |
1) INVESTMENT COMMITTEE; COMMUNITY FOUNDATION OF NORTHWEST CONNECTICUT; PORTFOLIO AND INVESTMENT MANAGEMENT; LOCATED IN TORRINGTON, CT; BEGINNING NOVEMBER 9, 2007; ONE HOUR PER MONTH DURING SECURITIES TRADING HOURS. 2) TORRINGTON HISTORICAL SOCIETY, 192 MAIN STREET, TORRINGTON, CT 06790. NOT INVESTMENT-RELATED, Vice President4/2021-PRESENT. 4 HRS/MONTH, NONE DURING SECURITIES TRADING HOURS. DUTIES RANGE FROM HELPING REVIEW THE ORGANIZATION'S FINANCIALS AND INVESTMENTS ALONG WITH OTHER ONGOING FIDUCIARY DECISIONS THE BOARD MAKES. 3) John T. & Jane A. Wiederhold Foundation, Non-Investment-related, 33 East Main Street, Torrington, CT 06790, Philanthropy, Trustee, 9/1/2021, One hour per month during trading hours. Fiduciary decisions and governance.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-10-07 |
| S63 | Uniform Securities Agent State Law Examination | 2004-09-21 |
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