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538 Preston Avenue, Meriden, CT 06450-4858 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2018-10-11 |
| TX | RA | APPROVED_RES | 2018-10-11 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Broker Dealer Financial Services Corp. | Charles City | IA | 02/1993 | 10/2018 |
| Infinex Investments, Inc. | Meriden | CT | 10/2018 | Present |
| First Security Bank & Trust | Charles City | IA | 10/2018 | Present |
1.) First Security Bank & Trust. Banking. Yes, investment related. Community bank. VP/Investment Officer. Started in Feb 1993. Approx 16 hours per month. Approx 4 during trading hours. Manage the bank wealth mgmt office. Manage trust and Investment dept.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-04-15 |
| S63 | Uniform Securities Agent State Law Examination | 1991-02-26 |
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