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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-09-05 |
| CT | RA | APPROVED | 2018-11-02 |
| MA | RA | APPROVED | 2018-11-02 |
Branch Locations
100 Corporate Place Suite 130, Rocky Hill, CT 06067 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Signator Investors, Inc. | Boston | MA | 11/1987 | 11/2018 |
| Osaic Wealth, Inc. | Rocky Hill | CT | 11/2018 | Present |
1. INSURANCE BROKER: PROPERTY AND CASUALTY, 110 FARMINGTON AVE, LONGMEADOW, MA, OFFERING AUTO/HOME INSURANCE, FOR AUTO INSURANCE, HE WILL OFFER PREMIUM FINANCING THROUGH MONARCH, REP WILL NOT RECEIVE A COMMISSION BUT RATHER A DIVIDEND FROM MONARCH. HE WILL ALSO PROSPECT , SELL, AND SERVICE AUTO AND HOME POLICIES, START OF RELATIONSHIP: NOV 20, 2011, APPROXIMATE # OF HOURS PER MONTH: 16-20 APPROXIMATE # OF HOURS SPENT DURING REGULAR SECURITIES TRADING HOURS: 10..... 2. INDEPENDENCE FINANCIAL PARTNERS POSITION: Agent NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/02/1987 ADDRESS: 100 Corporate Place, Suite 130, Rocky Hill CT 06067, United States DESCRIPTION: Provide insurance/fixed annuities to proposed insureds. 3. INSURANCE BROKER POSITION: Insurance Broker NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 16 SECURITIES TRADING HOURS: 10 START DATE: 04/12/1989 ADDRESS: 110 Farmington Avenue, Longmeadow MA 01106, United States DESCRIPTION: Offering auto/home insurance. For auto insurance, he will offer premium financing through Monarch, Rep will not receive a commission but rather a dividend from Monarch ( $0.00 to date). He will also prospect, sell, and service auto and home policies. Monarch relationship began Nov 20, 2011.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-12-27 |
| S63 | Uniform Securities Agent State Law Examination | 1986-08-18 |
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