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400 Atlantic Sreet 6Th Floor, Stamford, CT 06901 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2026-06-30 |
Branch Locations
400 Atlantic Sreet 6Th Floor, Stamford, CT 06901 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J. M. Lummis & Company, Inc. | New Canaan | CT | 08/2021 | 04/2025 |
| Gettysburg College | Gettysburg | PA | 08/2016 | 05/2020 |
| Unemployed | New Canaan | CT | 08/2020 | 08/2021 |
| J. M. Lummis Securities, Inc. | New Canaan | CT | 04/2022 | 04/2025 |
| Northcoast Asset Management | Stamford | CT | 04/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2026-06-30 |
| S63 | Uniform Securities Agent State Law Examination | 2022-12-29 |
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