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5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2020-08-13 |
Branch Locations
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
57 Danbury Road Suite 204, Wilton, CT 06897 • United States
Waterford, CT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Barnum Wealth Management | Stamford | CT | 05/2015 | 12/2019 |
| Mml Investors Services, Llc | Stamford | CT | 03/2017 | 12/2019 |
| Mass Mutual Life Insurance Co | Stamford | CT | 03/2017 | 12/2019 |
| Lpl Financial, Llc | Darien | CT | 12/2019 | 08/2020 |
| Stratos Wealth Partners, Ltd | Darien | CT | 12/2019 | 08/2020 |
| Interlock Financial | Westport | CT | 08/2020 | Present |
| Kestra Investment Services, Llc | Westport | CT | 08/2020 | Present |
| Kestra Advisory Services, Llc | Westport | CT | 08/2020 | Present |
Business Name: Referrals Only CT Investment Related: No Address: 23 Occhialini Ct Newington CT 06111 Nature of Business: Real Estate Position, Title or Relationship: Hold real estate license- I am not actively selling Start Date: 11/8/2019 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Hold real estate license- I am not actively sellingBusiness Name: Interlock Financial Investment Related: Yes Address: 10 Saugatuck Ave Westport CT 06880 Nature of Business: Registered Field Assistant Position, Title or Relationship: client service Start Date: 8/17/2020 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: client service Business Name: DOORDASH POSITION: delivery driver NATURE: Food Delivery INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/15/2024 ADDRESS: 303 2nd Street, San Francisco CA 94107, United States DESCRIPTION: delivery
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-10-21 |
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