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30 Old Kings Highway South, Darien, CT 06820 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2017-07-20 |
Branch Locations
30 Old Kings Highway South, Darien, CT 06820 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rock Elm Capital Management Llc | Darien | CT | 08/2015 | Present |
| Ba Securities, Llc | W. Conshohocken | PA | 06/2015 | Present |
ROCK ELM CAPITAL MANAGEMENT LLC 30 OLD KINGS HIGHWAY SOUTH DARIEN, CT 06820 MANAGING PARTNER/RIA EFFECTIVE: 01/13/2016 10 HOURS PER MONTH/0 HOURS PER MONTH DURING MARKET HOURS ROCK ELM HOLDINGS LLC 30 OLD KINGS HIGHWAY SOUTH DARIEN, CT 06820 MANAGING PARTNER/ADVISORY AND CONSULTING SERVICES EFFECTIVE: 11/06/2017 10 HOURS PER MONTH/0 HOURS PER MONTH DURING MARKET HOURS HOGAN MERCHANT CAPITAL LLC 1 BERRY LANE DARIEN, CT 06820 SOLE MEMBER/PERSONAL LLC FOR NON SECURITIES RELATED BUSINESS DEVELOPMENT EFFECTIVE: 09/10/2015 1 HOUR PER MONTH/0 HOURS PER MONTH DURING MARKET HOURS
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2019-06-20 |
| S65 | Uniform Investment Adviser Law Examination | 2017-04-24 |
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