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176 Westbrook Road, Essex, CT 06426 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2024-08-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Unique Finds Llc | Granby | CT | 02/2015 | Present |
| Commonwealth Financial Network | Waltham | MA | 07/2015 | 08/2021 |
| Essex Financial Services Inc | Essex | CT | 08/2021 | 06/2022 |
| The Leaders Group Inc | Littleton | CO | 08/2021 | 06/2022 |
| Commonwealth Financial Network | Waltham | MA | 06/2022 | 08/2024 |
| Gottfried & Somberg Wealth Management, Llc | Glastonbury | CT | 06/2022 | 08/2024 |
| Essex Financial Services Inc | Essex | CT | 08/2024 | Present |
1. Independent Distributor, Juice Plus; wellness products & garden systems; Located in Ellington, CT; as of 06/01/2020; 0% of time spent during business hours; Not conducted at branch location; Not investment related. 2. Owner of rental property located in Stafford Springs, CT, as of 06/01/2004; 0% time spent during business hours; Not conducted at branch location; Investment related. 3. Owner, Unique Finds, LLC; Artisan Gift Shop; Located in Ellington, CT; as of 02/01/2015; 0% of time spent during business hours; Not conducted at branch location; Not investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-03-04 |
| S63 | Uniform Securities Agent State Law Examination | 1995-04-10 |
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