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538 Preston Avenue, Meriden, CT 06450-4858 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-09-24 |
| IL | RA | APPROVED | 2024-09-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wayne Hummer Investments Llc | Chicago | IL | 02/2016 | 09/2024 |
| Osaic Institutions, Inc. | Meriden | CT | 09/2024 | Present |
| Morton Community Bank | Meriden | CT | 09/2024 | Present |
Morton Community Bank located at 721 W. Jackson Street, Morton, IL 61550. Investment-related. Position is a financial advisor. 160 hours per month of which 160 hours are during securities-trading hours. Start date of relationship is 2/8/2016. WTI compliance has reviewed the outside employment and have determined that activity: 1.) does not interfere with or compromise employee's responsibilities to WTI, and 2.) will not be viewed by the public as part of WTI's business. MCB TRUST AND WEALTH MANAGEMENT IS LOCATED AT 201 Clocktower Drive East Peoria, IL 61611 INVESTMENT-RELATED. POSITION IS A ACCOUNT MANAGER TOLE WITH 96 HOUR PER MONTH, OF WHICH 80 HOUR PER MONTH ARE DURING SECURITIES TRADING HOURS. RESPONSIBILITIES INCLUDES SERVICE ACCOUNT RELATIONSHIP MANAGEMENT AND SECURITIES ANALYSIS. START DATE OF POSITION IS 06/01/2020. WTI COMPLIANCE HAS REVIEWED THE OUTSIDE EMPLOYMENT AND HAVE DETERMINED THAT ACTIVITY: 1.) DOES NOT INTERFERE WITH OR COMPROMISE EMPLOYEE'S RESPONSIBILITIES TO WTI, AND 2.) WILL NOT BE VIEWED BY THE PUBLIC AS PART OF WTI'S BUSINESS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-05-02 |
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