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187 Danbury Road Suite 201, Wilton, CT 06897 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2022-05-31 |
Branch Locations
187 Danbury Road Suite 201, Wilton, CT 06897 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Maybank Kim Eng Securities Usa, Inc. | New York | NY | 10/2002 | 09/2019 |
| Unemployed | Westport | CT | 09/2019 | 06/2020 |
| Private Advisor Group, Llc | Westport | CT | 07/2020 | 01/2022 |
| Roundrock Advisors | Wilton | CT | 02/2022 | Present |
1.) FINRA; NON-INVESTMENT RELATED; 1 LIBERTY STREET APT 500, NEW YORK, NY, 10006; GOVERNMENTAL AUTHORITY; FINRA ARBITRATOR; SINCE 7/6/2021; 1 HOUR/MONTH DURING NON TRADING HOURS; SERVES AS AN ARBITRATOR TO RESOLVE REGULATORY DISPUTES BROUGHT TO FINRA'S ATTENTION. 2.) INSURANCE BROKER; INVESTMENT RELATED; WILTON, CT; MRS. KOMMEL-BROWNE SELLS LIFE INSURANCE IN AN INDEPENDENT CAPACITY; SINCE 12/01/2021; APPROXIMATELY 10% OF TIME.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1985-07-10 |
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