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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2018-12-19 |
Branch Locations
300 Atlantic St. Suite 130, Stamford, CT 06901-3514 • United States
19 East Elm Street, Greenwich, CT 06830-6518 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tennant Corporation | Old Greenwich | CT | 10/2010 | 11/2016 |
| Fairfield County Financial Services | Darien | CT | 03/2013 | 12/2018 |
| Infinex Investments, Inc. | Darien | CT | 03/2013 | 12/2018 |
| Charles Schwab & Co., Inc. | Greenwich | CT | 12/2018 | Present |
| Charles Schwab Bank, Ssb | Greenwich | CT | 12/2018 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-10-17 |
| S63 | Uniform Securities Agent State Law Examination | 2001-06-07 |
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