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27 Brook Road, Woodbridge, CT 06525 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2021-01-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wharton Midmarket Advisors Llc | Woodbridge | CT | 01/2001 | Present |
| Independent Investment Bankers Corp. | Austin | TX | 10/2012 | Present |
| Wharton Midmarket Securities, Inc. | Milford | CT | 08/2013 | Present |
WHARTON MIDMARKET ADVISORS, LLC, OWNER - MANAGEMENT CONSULTING; 6/2011 TO PRESENT; 160 HOURS PER MONTH HARRIGAN INSURANCE & FINANCIAL SERVICES, INC. ASSISTANT, VARIOUS JAN 2005 TO PRESENT 0-8 HRS PER MONTH.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-04-20 |
| S63 | Uniform Securities Agent State Law Examination | 2012-03-22 |
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