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2 High Ridge Park, Stamford, CT 06905 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2019-03-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Spectrum Asset Management, Inc. | Stamford | CT | 07/2012 | Present |
Portfolio manager for Spectrum Asset Management, Inc. ("Spectrum") SAMI Brokerage LLC ("SAMI") is a wholly owned direct subsidiary of Spectrum and is the executing broker for Spectrum. I select securities for purchase/sale in Spectrum client portfolios, oversee portfolio construction and place trade orders for same.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-06-08 |
| S63 | Uniform Securities Agent State Law Examination | 1993-02-09 |
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