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55 West Street Suite 201, Walpole, MA 02081 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2020-05-26 |
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 |
|---|---|---|---|---|
| Voya Financial Partners | Windsor | CT | 09/2014 | 02/2017 |
| Voya Financial | Windsor | CT | 09/2014 | 02/2017 |
| Massachusetts Mutual Life Insurance Company | Springfield | MA | 04/2017 | 12/2018 |
| Mml Distributors, Llc | Enfield | CT | 06/2017 | 12/2018 |
| Securities America, Inc. | West Hartford | CT | 12/2018 | 12/2022 |
| The Patriot Financial Group | West Hartford | CT | 09/2019 | Present |
| Riverside Retirement Advisors | West Hartford | CT | 09/2019 | Present |
| Cetera Financial Specialists Llc | Schaumburg | IL | 12/2022 | Present |
| Seifert Holdings, Llc | West Hartford | CT | 12/2018 | Present |
1) PATRIOT FINANCIAL GROUP; WEST HARTFORD, CT; INVESTMENT RELATED; INVESTMENT ADVISORY SERVICES; SINCE 09/2019; 160 HOURS/MO 2) RIVERSIDE RETIREMENT ADVISORS; WEST HARTFORD, CT; INVESTMENT RELATED; DBA FOR INVESTMENT ADVISORY SERVICES; FINANCIAL ADVISOR; SINCE 09/2019; 160 HOURS/MO 3) NAME OF OTHER BUSINESS: NORTHWEST CT HUMAN RESOURCE ASSOCIATION; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: NON PROFIT BOARD; START DATE: 08/2023; POSITION/TITLE/RELATIONSHIP: VP OF MEMBERSHIP; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: HELP GROW THE ORGANIZATION, PLANNING EVENTS FOR MEMBER/PROSPECTS, FOLLOWING ON UP MEMBERSHIP QUESTIONS; 4) NAME OF OTHER BUSINESS: SEIFERT HOLDINGS, LLC INVESTMENT RELATED: YES, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: LLC, START DATE:12/2018, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: LLC TO RECEIVE ADVISORY FEES PAID BY RIA;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-05-23 |
| S63 | Uniform Securities Agent State Law Examination | 2013-01-30 |
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