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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2023-06-29 |
Branch Locations
555 Long Wharf Drive 11Th Floor, New Haven, CT 06511 • United States
2 disclosure categories 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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Park Avenue Securities | Madison | CT | 10/2014 | 10/2019 |
| Guardian Life Ins Co Of America | Madison | CT | 10/2014 | 10/2019 |
| Guardian Life Insurance Company | New Haven | CT | 11/2019 | 02/2023 |
| Park Avenue Securities | New Haven | CT | 11/2019 | 02/2023 |
| Cetera Wealth Services, Llc | El Segundo | CA | 02/2023 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1. NAME OF OTHER BUSINESS: THE CONNECTION INC; INVESTMENT RELATED: NO; ADDRESS: 100 ROSCOMMON DRIVE, MIDDLETOWN, CT 06457; NATURE OF BUSINESS: COMMUNITY SERVICES; START DATE: 09/2015; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: GUIDANCE TO LEADERSHIP OF THE CONNECTION, INC. ESPECIALLY WITH REGARDS GOVERNANCE AND BEST BUSINESS PRACTICES; 2. NAME OF OTHER BUSINESS: WOOSTER SQUARE ADVISORS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: SECURITIES DBA; START DATE: 02/2023; POSITION/TITLE/RELATIONSHIP: DIRECTOR OF WEALTH MANAGEMENT; APX NUMBER OF HOURS PER WEEK: 50; APX NUMBER OF HOURS DURING TRADING HOURS: 50; BRIEF DESCRIPTION OF DUTIES: TO DEVELOP INVESTMENT STRATEGIES FOR OUR CLIENTS. 3. NAME OF OTHER BUSINESS: CT WAVERUNNERS; INVESTMENT RELATED: NO; ADDRESS: 5 TUDOR COURT OLD SAYBROOK, CT 06475; NATURE OF BUSINESS: NON PROFIT; START DATE: 05/2024; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: STRATEGIC LEADERSHIP IN SUPPORT OF THE GROUPS MISSION; 4. NAME OF OTHER BUSINESS: CFA SOCIETY HARTFORD; INVESTMENT RELATED: NO; ADDRESS: PO BOX 266 GRANBY, CT 06035; NATURE OF BUSINESS: PROFESSIONAL ORGANIZATION; START DATE: 07/2024; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: HELP DIRECT THE ACTIVITIES OF THE SOCIETY IN SUPPORT OF MEMBERSHIP, DEVELOP AND LEAD PROGRAMS IN SUPPORT OF MEMBERS IN PRIVATE WEALTH MANAGERMENT;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-12-10 |
| S63 | Uniform Securities Agent State Law Examination | 1986-09-18 |
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