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55 West Street Suite 201, Walpole, MA 02081 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-11-11 |
| CT | RA | APPROVED | 2018-12-19 |
Branch Locations
10 Main St 4Th Flr., Bristol, CT 06010 • United States
55 West Street Suite 201, Walpole, MA 02081 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Robert Hensley And Associates | Avon | CT | 07/2007 | 12/2018 |
| Cetera Advisor Networks Llc | El Segundo | CA | 09/2013 | 12/2018 |
| Securities America, Inc. | Bristol | CT | 12/2018 | 12/2022 |
| The Patriot Financial Group, Llc | Bristol | CT | 12/2018 | Present |
| Riverside Wealth Management | Bristol | CT | 12/2022 | Present |
| Cetera Financial Specialists Lls | Schaumburg | IL | 12/2022 | Present |
1) PATRIOT FINANCIAL GROUP; BRISTOL, CT ; INVESTMENT RELATED; INVESTMENT ADVISORY SERVICES; WEALTH MANAGER; SINCE 12/2022; 160 HOURS/MO 2) RIVERSIDE WEALTH MANAGEMENT; BRISTOL, CT ; INVESTMENT RELATED; INVESTMENT ADVISORY SERVICES; WEALTH MANAGER; SINCE 12/2022; 160 HOURS/MO 3) SPIRITHORSE THERAPEUTIC RIDING CENTER OF CANTON; CANTON, CT; NON-INVESTMENT RELATED; RIDE INSTRUCTOR; SINCE 03/2019; 4 HRS/MO 4) ESTATE AND BUSINESS PLANNNING COUNCIL OF HARTFORD; ROCKY HILL, CT; NON-INVESTMENT RELATED; SINCE 06/2009; 2 HRS/MO 5) CENTRAL CONNECTICUT CHAMBERS OF COMMERCE; BRISTOL, CT; NON-INVESTMENT RELATED; MEMBER; PARTICIPATE IN MEETINGS; SICNE 04/2019; 4 HRS/MO 6) CHRYSALIS CENTER; HARTFORD, CT; NON-INVESTMENT RELATED; NON-PROFIT ORGANIZATION; MEMBER ON INVESTMENT COMMITTEE; SINCE 11/2022; 1 HR/MO 7) NAME OF OTHER BUSINESS: RIVERSIDE INVESTMENT SERVICES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 12/2018; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 8) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 09/2023, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT , BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, FIXED ANNUITIES AND LONG-TERM CARE; 9) NAME OF OTHER BUSINESS: GIFTS FOR CANTON, INVESTMENT RELATED: NO, ADDRESS: 40 DYER AVE, CANTON, CT 06019, NATURE OF BUSINESS: NON-PROFIT, START DATE: 09/2023, POSITION/TITLE/RELATIONSHIP: CO-CHAIR, LESS THAN ONE HOUR PER WEEK, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: WORK WITH SOCIAL SERVICES AND COMMUNITY BASED ORGANIZATION TO ORGANIZE ACTIVITIES AND RAISE AWARENESS; 10) NAME OF OTHER BUSINESS: SUNSET TERRACE PROPERTIES, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATON; NATURE OF BUSINESS: REAL ESTATE; START DATE: 08/2024; POSITION/TITLE/RELATIONSHIP: MANAGER/MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: MAINTENANCE OF PROPERTY, REPAIRS, GENERAL UPKEEP AND BOOKKEEPING;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-08-22 |
| S63 | Uniform Securities Agent State Law Examination | 1993-12-10 |
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