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One Financial Plaza 26Th Floor, Hartford, CT 06103 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2021-02-09 |
Branch Locations
One Financial Plaza 26Th Floor, Hartford, CT 06103 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Allianz Global Investors Distributors Llc | New York | NY | 01/2003 | 01/2021 |
| Allianz Global Investors U.S. Llc | New York | NY | 01/2013 | 01/2021 |
| Virtus Investment Partners | Easton | CT | 02/2021 | Present |
| Vp Distributors Llc | Easton | CT | 02/2021 | Present |
1. UCONN, EAGLEVILLE RD, STORRS CT; BUSINESS IS NOT INVESTMENT RELATED: NATURE OF BUSINESS: HELP PROGRAMS/IDEAS TO GROW/BUILD; POSITION: BOARD MEMBER; START DATE: 7/15/21; 1 HR/WEEKLY DEVOTED TO BUSINESS; 0 HRS DEVOTED TO BUSINESS DURING SECURITIES TRADING HOURS; DUTIES: BOARD MEMBER. 2. JEWISH FEDERATION OF UPPER FAIRFIELD COUNTY, 4200 PARK AVE, BRIDGEPORT CT; BUSINESS IS NOT INVESTMENT RELATED; NATURE OF OTHER BUSINESS: JEWISH NON PROFIT - WORKING TO IMPROVE AND SAVE LIVES LOCALLY; POSITION: SITTING ON A COMMITTEE; START DATE: 3/1/22; 1/HR MONTHLY DEVOTED TO BUSINESS; 0 HRS DEVOTED TO BUSINESS DURING SECURITIES TRADING HOURS; DUTIES: COMMITTEE FOR EVENTS.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2003-03-31 |
| S65 | Uniform Investment Adviser Law Examination | 1996-05-09 |
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