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One Financial Plaza 1350 Main Street, Springfield, MA 01103 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2024-11-01 |
| RI | RA | APPROVED | 2024-09-30 |
| MA | RA | APPROVED | 2024-07-21 |
Branch Locations
One Financial Plaza 1350 Main Street, Springfield, MA 01103 • United States
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 |
|---|---|---|---|---|
| Lincoln Financial Securities | Springfield | MA | 07/2022 | 12/2023 |
| City Of Springfield | Springfield | MA | 01/2020 | 01/2026 |
| Hampden County District Attorney's Office | Springfield | MA | 10/2016 | 11/2019 |
| City Of Springfield | Springfield | MA | 02/2015 | 10/2016 |
| Town Of Washington | Washington | MA | 07/2023 | 11/2024 |
| Usa 401K, Llc | Springfield | MA | 03/2024 | Present |
1)LAW OFFICE OF SEAN CURRAN SPRINGFIELD MA CATEGORY: ATTORNEY INVESTMENT RELATED: NO TITLE: ATTORNEY DUTIES: PERFORM REAL ESTATE CLOSINGS AND REPRESENT INDIVIDUALS WITH MISDEMEANOR MOTOR VEHICLE OFFENSES START DATE: 11/2022 HOURS PER WEEK: 10 HOURS PER WEEK DURING TRADING HOURS: 10 2) HAPPY VALLEY REALTY GROUP, LLC 2 BUCHANAN CIRCLE SOUTHAMPTON MA CATEGORY: REAL ESTATE INVESTMENT RELATED: NO TITLE: AGENT DESCRIPTION OF THE BUSINESS: HAPPY VALLEY REALTY GROUP, LLC REPRESENTS BUYERS AND SELLERS OF RESIDENTIAL REAL ESTATE. RESPONSIBILITIES DUTIES: I WILL REPRESENT BUYERS AND SELLERS OF RESIDENTIAL REAL ESTATE. START DATE: 2024-12-03 HOURS PER MONTH: 5 HOURS PER MONTH DURING TRADING HOURS: 0 3) Roots and Roofs INC. LOCATION: 124 Balis Street Springfield MA 01109 INVESTMENT RELATED: No TITLE: Board of Directors DESCRIPTION OF THE BUSINESS: Non-profit, dedicated to educating individuals and families about home ownership. RESPONSIBILITIES DUTIES: Member of the Board of Directors of non-profit, with a mission of educating individuals on home ownership. START DATE: 2025-06-18 HOURS PER MONTH: 0 HOURS PER MONTH DURING TRADING HOURS: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-04-23 |
| S63 | Uniform Securities Agent State Law Examination | 2021-01-25 |
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