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12671 High Bluff Dr Suite 200, San Diego, CA 92130 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2014-04-14 |
Branch Locations
750 Main Street Suite 400, Hartford, CT 06103 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Independent Financial Group Llc | Hartford | CT | 03/2014 | Present |
(1) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 12/01/1992 ADDRESS: 750 Main Street, Suite 400, Hartford CT 06103, United States DESCRIPTION: CT INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS (2) WAREHAM & ASSOCIATES POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 12/01/1992 ADDRESS: 750 Main Street, Suite 400, Hartford CT 06103, United States DESCRIPTION: 100% OWNER OF THE DBA WAREHAM & ASSOCIATES WHICH ACTS AS A DBA FOR CHARLES WAREHAM AND VALARK FINANCIAL SERVICES, OFFERING INVESTMENT MANAGEMENT, INSURANCE SERVICES AND FINANCIAL CONSULTING (3) VAYLARK FINANCIAL SERVICES POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 10/21/2020 ADDRESS: 750 Main Street, Suite 400, Hartford CT 06103, United States DESCRIPTION: 100% owner of Vaylark Financial Services, consisting of financial consulting & investment management. (4) VAYLARK COLLEGE PLANNING POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2026 ADDRESS: 750 Main Street, Suite 400, Hartford CT 06103, United States DESCRIPTION: My role with Vaylark College Planning includes client education, financial planning, retirement planning, college planning, insurance planning, seminar support, prospecting, and client service. All securities, advisory, and insurance-related activity will be conducted only through the appropriate approved broker-dealer/RIA/insurance channels and subject to firm supervision.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1995-01-19 |
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