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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2018-04-20 |
| TX | RA | APPROVED | 2018-04-17 |
Branch Locations
200 Glastonbury Blvd Suite 103, Glastonbury, CT 06033-4418 • United States
Niantic, CT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Glastonbury | CT | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Glastonbury | CT | 11/2016 | 04/2018 |
| Rbc Capital Markets, Llc. | Glastonbury | CT | 04/2018 | Present |
| City National Bank | Glastonbury | CT | 10/2019 | Present |
NOVA PARTNERS LLC; INVESTMENT RELATED; GLASTONBURY, CT; HOLDING COMPANY CREATED FOR THE PURCHASE TAK ENTERPRISES, INC. 9.09% OWNERSHIP; START DATE = 7/3/14; NO TIME DEVOTED; NO DUTIES; PASSIVE OWNERSHIP. 2)NAME OF ENTITY: Arthritis Foundation Connecticut Charter ADDRESS: 35 Cold Spring Rd Ste 412, Rocky Hill, CT 06067 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Non Profit CAPACITY: Board of Directors * START DATE: 9.1.22 DUTIES: Donate my time to help organize different events that will raise money for the organization. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-01-04 |
| S63 | Uniform Securities Agent State Law Examination | 1993-04-02 |
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