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Current Employers
Osaic Institutions, Inc.

538 Preston Avenue, Meriden, CT 06450-4858 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2009-09-08
  • CT RA
    APPROVED
    Since 2009-09-08

Branch Locations

150 Danbury Road, Ridgefield, CT 06877 • United States

Disclosures

1 disclosure category 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.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Infinex Investments, Inc. Ridgefield CT 05/1999 Present
Fairfield County Bancorp Ridgefield CT 01/2004 Present
  • 05/1999 → Present
    Infinex Investments, Inc.
    Ridgefield, CT
  • 01/2004 → Present
    Fairfield County Bancorp
    Ridgefield, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-12-11
S63 Uniform Securities Agent State Law Examination 1987-10-01
  • S65 Uniform Investment Adviser Law Examination
    1997-12-11
  • S63 Uniform Securities Agent State Law Examination
    1987-10-01
Designations

View on SEC IAPD

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