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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2021-12-20 |
Branch Locations
100 Corporate Place Suite 130, Rocky Hill, CT 06067 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Horton Group Llc | Madison | CT | 02/2014 | 03/2018 |
| Independence Financial Partners | Warwick | RI | 05/2018 | Present |
| Royal Alliance Associates, Inc. | Rocky Hill | CT | 05/2021 | Present |
1) LIFE INSURANCE POSITION: Insurance Agent NATURE: Insurance Agency INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 100 START DATE: 01/01/2021 ADDRESS: 100 Corporate Place, Rocky Hill CT 06067, United States DESCRIPTION: Seeking new insurance clients 2) SECURITIES POSITION: Associate NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 100 START DATE: 01/01/2022 ADDRESS: 100 corporate place, Rocky Hill CT 06067, United States DESCRIPTION: Assisting a book of business with conducting reviews and servicing work 3) OTHER POSITION: Registered Rep NATURE: Life Insurance and LTC follow up on cases and completion of requirements as needed INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 20 START DATE: 03/01/2023 ADDRESS: 100 corporate place, suite 130, Rocky Hill CT 06417, United States DESCRIPTION: Help Complete any requirements that the agent or the carriers may need to have completed 4) INSURANCE POSITION: Registered Rep NATURE: other INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 20 START DATE: 03/01/2023 ADDRESS: 100 corporate place, suite 130, Rocky Hill CT 06417, United States DESCRIPTION: Help follow up on any requirements for cases for Dennis Bardoni, visit clients clients and fact find, and help service client needs.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-12-17 |
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