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One Orange Way, Windsor, CT 06095 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-07-19 |
Branch Locations
The Woodlands, TX • United States
One Orange Way, Windsor, CT 06095 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Aag, Llc/Great-West Life & Ann Ins Co | Denver | CO | 06/2008 | 09/2019 |
| Gwfs Equities, Inc. | The Woodlands | TX | 10/2015 | 09/2019 |
| Lockton Companies Llc | Houston | TX | 09/2019 | 09/2021 |
| Lockton Financial Advisors, Llc | Houston | TX | 09/2019 | 09/2021 |
| Lockton Investment Advisors, Llc | Houston | TX | 09/2019 | 09/2021 |
| Leading Retirement Solutions | Seattle | WA | 09/2021 | 03/2023 |
| Voya | The Woodlands | TX | 03/2023 | Present |
| Voya Financial Partners, Llc | The Woodlands | TX | 03/2023 | Present |
Rotary Club of the Woodlands; Not investment related; PO Box 7353, The Woodlands, TX 77387-7353; Community service & fraternal organization; prospective member; 05/17/2024 ; 8 hour per month; 4 hours per month during trading hours; Community service, social activities, luncheons.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2016-01-12 |
| S65 | Uniform Investment Adviser Law Examination | 2007-06-22 |
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