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35 West Broad Street Suite 100, Stamford, CT 06902 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| UT | RA | APPROVED | 2024-01-10 |
| TX | RA | APPROVED_RES | 2019-02-04 |
| CT | RA | APPROVED | 2019-02-01 |
Branch Locations
2 disclosure categories 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 |
|---|---|---|---|---|
| Raymond James Financial Services | Stamford | CT | 03/2008 | 12/2018 |
| Raymond James Financial Services Advisors, Inc | Stamford | CT | 01/2009 | 12/2018 |
| Alta Financial, Llc | Stamford | CT | 04/2008 | Present |
| Tsk-Jkk, Llc | Fairfield | CT | 07/2014 | Present |
| Emerson Reid | Stamford | CT | 11/2012 | Present |
| Sovereign Financial Group, Inc. | Mayflower Mountain | UT | 12/2018 | Present |
(1) TKK-JKK, LLC, FAIRFIELD, CT, REAL PROPERTY TRANSACTIONS AND RENTALS, INVESTMENT RELATED, 07/2014, 6 HRS PER MONTH, 0 DURING TRADING. (2) Name of Business: Deer Valley; Investment Related: No; Address: 2250 Deer Valley Drive S, Park City, UT. 84060; Nature of Business: Ski Resort; Title: Transportation Driver; Start Date: 12/10/2024; Hours per month devoted to this business: 64; Hours per month devoted to this business during trading hours: 0 ; Duties: Drive guests to their desired destinations
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-05-31 |
| S63 | Uniform Securities Agent State Law Examination | 1996-05-23 |
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