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Advisor at CONNECTICUT WEALTH MANAGEMENT, LLC
FARMINGTON, CT
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| CONNECTICUT WEALTH MANAGEMENT, LLC | Independent wealth | Sep 16, 2020 | n/a | yes | FARMINGTON, CT | Current employment |
| NEW ENGLAND CAPITAL PLANNERS, INC. | Former SEC adviser | Dec 8, 2009 | Oct 4, 2020 | no | AVON, CT | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | Feb 5, 2009 | Jul 2, 2019 | no | AVON, CT | Previous registration |
| DBIA, LLC. | State registered | Feb 28, 2000 | Jan 2, 2009 | no | FARMINGTON, CT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| NEW ENGLAND CAPITAL PLANNERS, INC. | CONNECTICUT WEALTH MANAGEMENT, LLC | Oct 4, 2020 | Sep 16, 2020 | -18 | Firm change | RIA to RIA |
| LPL FINANCIAL LLC | NEW ENGLAND CAPITAL PLANNERS, INC. | Jul 2, 2019 | Dec 8, 2009 | -3,493 | Firm change after gap | Other |
| DBIA, LLC. | LPL FINANCIAL LLC | Jan 2, 2009 | Feb 5, 2009 | 34 | Firm change | Other |