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Advisor at OPTIMUM FINANCIAL LLC
WETHERSFIELD, 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 |
|---|---|---|---|---|---|---|
| OPTIMUM FINANCIAL LLC | State registered | Mar 11, 2024 | n/a | yes | WETHERSFIELD, CT | Current employment |
| PLANMEMBER SECURITIES CORPORATION | Independent wealth | Dec 7, 2011 | Mar 12, 2024 | no | WETHERSFIELD, CT|FARMINGVILLE, NY|CARPINTERIA, CA|OVIEDO, FL | Previous registration |
| VOYA FINANCIAL ADVISORS, INC. | Bd affiliated wealth | Sep 21, 2010 | Sep 8, 2011 | no | WETHERSFIELD, CT|NEW LONDON, CT | Previous registration |
| HARVEST CAPITAL ADVISORS, LLC | n/a | Jan 17, 2003 | Apr 6, 2009 | no | WETHERSFIELD, CT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| PLANMEMBER SECURITIES CORPORATION | OPTIMUM FINANCIAL LLC | Mar 12, 2024 | Mar 11, 2024 | -1 | Firm change | RIA to state RIA |
| VOYA FINANCIAL ADVISORS, INC. | PLANMEMBER SECURITIES CORPORATION | Sep 8, 2011 | Dec 7, 2011 | 90 | Firm change | Other |
| HARVEST CAPITAL ADVISORS, LLC | VOYA FINANCIAL ADVISORS, INC. | Apr 6, 2009 | Sep 21, 2010 | 533 | Firm change after gap | Other |