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Current Employers
Osaic Institutions, Inc.

538 Preston Avenue, Meriden, CT 06450-4858 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2025-05-07
CT RA APPROVED 2025-04-02
  • MA RA
    APPROVED
    Since 2025-05-07
  • CT RA
    APPROVED
    Since 2025-04-02

Branch Locations

61 North Main Street, East Longmeadow, MA 01028 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Santander Bank Na Wethersfield CT 09/2015 04/2017
Santander Securities Llc San Juan PR 09/2015 04/2017
Conri Llc West Springfield MA 04/2017 11/2018
People'S Securities, Inc. Bridgeport CT 11/2018 01/2020
People'S United Advisors, Inc. Bridgeport CT 11/2018 01/2020
Citizens Securities, Inc. Middletown CT 01/2020 05/2023
Wells Fargo Clearing Services, Llc Madison CT 05/2023 12/2023
Wells Fargo Bank, Na Madison CT 05/2023 12/2023
Agemy Wealth Advisors, Llc Guilford CT 12/2024 03/2025
Unemployed Middletown CT 12/2023 11/2024
Osaic Institutions, Inc. Meriden CT 03/2025 Present
Monson Savings Bank East Longmeadow MA 03/2025 Present
  • 09/2015 → 04/2017
    Santander Bank Na
    Wethersfield, CT
  • 09/2015 → 04/2017
    San Juan, PR
  • 04/2017 → 11/2018
    Conri Llc
    West Springfield, MA
  • 11/2018 → 01/2020
    People'S Securities, Inc.
    Bridgeport, CT
  • 11/2018 → 01/2020
    People'S United Advisors, Inc.
    Bridgeport, CT
  • 01/2020 → 05/2023
    Middletown, CT
  • 05/2023 → 12/2023
    Madison, CT
  • 05/2023 → 12/2023
    Wells Fargo Bank, Na
    Madison, CT
  • 12/2024 → 03/2025
    Guilford, CT
  • 12/2023 → 11/2024
    Unemployed
    Middletown, CT
  • 03/2025 → Present
    Meriden, CT
  • 03/2025 → Present
    Monson Savings Bank
    East Longmeadow, MA
Previous Registrations
  • 2024-12-05 → 2025-02-04
    Dever, CO
  • 2023-06-08 → 2024-01-12
    Madison, CT
    Melville, NY
  • 2020-01-28 → 2023-05-01
    Johnston, RI
    Middletown, CT
    Bridgeport, CT
    Middletown, CT
    Durham, CT
    Milford, CT
    Orange, CT
  • 2018-11-13 → 2020-01-29
    People'S Securities, Inc.
    Glastonbury, CT
    Glastonbury, CT
    Glastonbury, CT
    Cromwell, CT
    Middletown, CT
    Hartford, CT
  • 2018-11-13 → 2020-01-29
    People'S United Advisors, Inc.
    Glastonbury, CT
  • 2015-09-22 → 2017-03-09
    Wethersfield, CT
    Wethersfield, CT
    Worcester, MA
    East Hartford, CT
    West Hartford, CT
    Avon, CT
    Framingham, MA
    Windsor, CT
    Glastonbury, CT
    Hartford, CT
    Newington, CT
  • 2014-10-15 → 2015-06-30
    Rockville, CT
    Meriden, CT
  • 2012-09-28 → 2014-09-29
    Middletown, CT
    Durham, CT
    Middletown, CT
    Hartford, CT
    Rocky Hill, CT
    Rocky Hill, CT
    Manchester, CT
    West Hartford, CT
    Middletown, CT
    Middletown, CT
  • 2008-05-27 → 2012-09-14
    Hartford, CT
    Glastonbury, CT
    Hartford, CT
    East Hartford, CT
    New Haven, CT
    Wethersfield, CT
    Simsbury, CT
    Glastonbury, CT
    Branford, CT
    Avon, CT
    Avon, CT
    Hartford, CT
    Wethersfield, CT
    Glastonbury, CT
    Hartford, CT
    Simsbury, CT
    Wethersfield, CT
    Wethersfield, CT
  • 2002-09-06 → 2008-05-27
    Ifmg Securities, Inc.
    Hartford, CT
    Hartford, CT
    Glastonbury, CT
    Hartford, CT
    Simsbury, CT
    Avon, CT
    East Hartford, CT
    East Hartford, CT
    Branford, CT
    New Haven, CT
    Avon, CT
    Wethersfield, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-29
S63 Uniform Securities Agent State Law Examination 1999-03-20
  • S65 Uniform Investment Adviser Law Examination
    1999-12-29
  • S63 Uniform Securities Agent State Law Examination
    1999-03-20
Other Names
  • Paul Richard Duquette
  • Paul R Duquette

View on SEC IAPD

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