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1705 Seventeenth Street Suite 100, Denver, CO 80202 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VT | RA | APPROVED | 2024-11-05 |
Branch Locations
1705 Seventeenth Street Suite 100, Denver, CO 80202 • United States
159 Bank Street Suite 202, Burlington, VT 05401 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| University Of Vermont Ext. Service | Burlington | VT | 01/1993 | 08/2020 |
| Equity Services, Inc | Montpelier | VT | 06/2010 | 10/2024 |
| Trg Investment Advisors, Llc | Brattleboro | VT | 10/2024 | Present |
| Client Centered Financial | Burlington | VT | 02/2015 | 06/2024 |
1) National Association of Insurance and Financial Advisors - Vermont. NAIFA National - 1000 Wilson Boulevard, Sute 1890, Arlington, VA 22209. 5-10 hours per month. Some during trading hours. Not Investment-Related. I have been a member of NAIFA VT since about 2009 and a member of the NAIFA VT board of directors since about 2016. Ongoing participation in the professional organization and as a member of the BOD. Collaborating with membership to implement an annual strategic plan for the Vermont Chapter in accordance with the guidelines of NAIFA National. Activities include professional networking as well as state a national legislative lobbying at the direction of NAIFA National. NAIFA VT financial resources are managed and monitored by chapter management services through NAIFA. This activity is incidental to my work at TRG Investment Advisors. 2) Wood Family Trust - 716 West Hill Rd, Lincoln, VT 05443. Not investment related. I serve as a trustee on the Wood Family Trust for the benefit of a family-owned property in East Falmouth, MA. I am a trustee on two of the three divisions of the family trust. No activity during trading hours. All financial assets in the trust are invested and managed by a third-party investment advisor. 3) National Life of Vermont - One National Life Drive, Montpelier, VT 05604. Not investment-related. I am contracted to be able to offer life insurance and annuity products as an independent agent with NLV. The focus is fixed and indexed products. I have been contracted with NLV since August 2008. This activity is incidental to my work at TRGIA. Minimal time expected for this activity. Not likely during regular securities trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-10-14 |
| S63 | Uniform Securities Agent State Law Examination | 2021-03-19 |
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