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1345 Avenue Of The Americas, New York, NY 10105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2021-08-03 |
Branch Locations
772 South Main Street, Plantsville, CT 06479 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| New York Life Insurance Company | Stratford | CT | 09/2015 | 03/2018 |
| Nylife Securities Llc | Stratford | CT | 09/2015 | 03/2018 |
| Eagle Strategies Llc | Stratford | CT | 12/2015 | 03/2018 |
| Holistic Financial Strategies, Llc | Stratford | CT | 01/2017 | 04/2018 |
| Mml Investor Services | Stratford | CT | 04/2018 | 07/2019 |
| Massachusetts Mutual Life Insurance Company | Stratford | CT | 04/2018 | 07/2019 |
| The Prudential Insurance Company Of America | Shelton | CT | 07/2019 | 08/2021 |
| Pruco Securities Llc | Shelton | CT | 07/2019 | 08/2021 |
| Equitable Advisors Llc | New York | NY | 08/2021 | Present |
1) Legion Financial LLC, 772 S Main St Plantsville CT 06479, Managing Member; 2) Refounding Alliance, 294 Neill Dr., Watertown, CT, Executive Director, non investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-02-27 |
| S63 | Uniform Securities Agent State Law Examination | 2006-08-25 |
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