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55 West Street Suite 201, Walpole, MA 02081 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2015-10-13 |
| TX | RA | APPROVED | 2015-10-05 |
Branch Locations
10 Main St 4Th Flr., Bristol, CT 06010 • 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 |
|---|---|---|---|---|
| Lpl Financial Llc | Bristol | CT | 04/2006 | 06/2018 |
| The Patriot Financial Group, Llc | Bristol | CT | 10/2015 | Present |
| Securities America Inc. | Bristol | CT | 06/2018 | 12/2022 |
| Riverside Wealth Management | Bristol | CT | 12/2022 | Present |
| Cetera Financial Specialists Llc | Schaumburg | IL | 12/2022 | Present |
1) PATRIOT FINANCIAL GROUP; BRISTOL, CT ; INVESTMENT RELATED; INVESTMENT ADVISORY SERVICES; WEALTH MANAGER; SINCE 12/2022; 160 HOURS/MO 2) RIVERSIDE WEALTH MANAGEMENT; BRISTOL, CT ; INVESTMENT RELATED; INVESTMENT ADVISORY SERVICES; WEALTH MANAGER; SINCE 12/2022; 160 HOURS/MO 3) CITY OF BRISTOL RETIREMENT BOARD; BRISTOL, CT; NON-INVESTMENT RELATED; CHAIRMAN; SINCE 11/2002; 12 HRS/MO 4) THE WEST CEMETERY ASSOCIATION; BRISTOL, CT; NON-INVESTMENT RELATED; TREASURER; SINCE 12/2012; 4 HRS/MO 5) NAME OF OTHER BUSINESS: RIVERSIDE INVESTMENT SERVICES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 09/2006, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-07-28 |
| S63 | Uniform Securities Agent State Law Examination | 2000-05-24 |
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