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One Financial Plaza 26Th Floor, Hartford, CT 06103 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2026-02-03 |
Branch Locations
Mount Pleasant, SC • United States
One Financial Plaza 26Th Floor, Hartford, CT 06103 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hartford Funds Distributors, Llc | Wayne | PA | 07/2013 | 03/2025 |
| Hartford Funds Management Company, Llc | Wayne | PA | 10/2013 | 03/2025 |
| Thornburg Investment Management | Santa Fe | NM | 03/2025 | 01/2026 |
| Virtus Investment Advisers, Llc | Mount Pleasant | SC | 01/2026 | Present |
| Vp Distributors, Llc | Mount Pleasant | SC | 01/2026 | Present |
1) NAME: TOLWIN PROPERTIES, LLC; NOT INVESTMENT RELATED; ADDRESS: 921 TUPELO BAY DRIVE, MOUNT PLEASANT, SC 29464; NATURE OF BUSINESS: REAL ESTATE MANAGEMENT; POSITION: MEMBER; START DATE: 09/05/2017; 0 HRS/MONTH; 0 HOURS DEVOTED TO ENTERPRISE DURING SECURITIES TRADING HOURS; MANAGING MEMBER 2) NAME: CASA PALMA CHS LLC (PREVIOUSLY: BUBBLES & BLESSINGS, LLC); NOT INVESTMENT RELATED; ADDRESS: 921 TUPELO BAY DRIVE, MOUNT PLEASANT, SC 29464; NATURE OF BUSINESS: INTERIOR DESIGN CONSULTING; POSITION: MEMBER; START DATE: 06/16/2017; 0 HRS/MONTH; 0 HOURS DEVOTED TO ENTERPRISE DURING SECURITIES TRADING HOURS; NON-MANAGING MEMBER
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-01-17 |
| S63 | Uniform Securities Agent State Law Examination | 2006-08-29 |
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