on 02 Nov 2018
Last Applicant/ Owned by
22 Kent Road
Cornwall Bridge
CT
06754
Serial Number
77238551 filed on 25th Jul 2007
Registration Number
3491416 registered on 26th Aug 2008
Correspondent Address
Christopher P. Foley
Filing Basis
1. use application currently
Disclaimer
NO DATA
Securities compliance review of best practices, rules and regulations and industry standards of broker-dealers and investment adviser professionals CERTIFIED SECURITIES COMPLIANCE PROFESSIONAL The certification mark, as used by authorized persons, certifies the authorized individual has met minimum standards of experience, knowledge, and written examination requirements established by the certifRead More
Securities compliance review of best practices, rules and regulations and industry standards of broker-dealers and investment adviser professionals
15th Jul 2006
01st Sep 2006
No 77238551
No Service/Collective Mark
No 10594.0002
No
No
No
No
No
No
No
No
| Status Date | Action Taken |
|---|---|
| 02th Nov 2018 | NOTICE OF ACCEPTANCE OF SEC. 8 & 9 - E-MAILED |
| 02th Nov 2018 | REGISTERED AND RENEWED (FIRST RENEWAL - 10 YRS) |
| 02th Nov 2018 | REGISTERED - SEC. 8 (10-YR) ACCEPTED/SEC. 9 GRANTED |
| 30th Oct 2018 | TEAS RESPONSE TO OFFICE ACTION-POST REG RECEIVED |
| 05th Oct 2018 | POST REGISTRATION ACTION MAILED - SEC. 8 & 9 |
| 03rd Oct 2018 | TEAS RESPONSE TO OFFICE ACTION-POST REG RECEIVED |
| 01st May 2018 | POST REGISTRATION ACTION MAILED - SEC. 8 & 9 |
| 24th Apr 2018 | CASE ASSIGNED TO POST REGISTRATION PARALEGAL |
| 26th Mar 2018 | CASE ASSIGNED TO POST REGISTRATION PARALEGAL |
| 25th Mar 2018 | CASE ASSIGNED TO POST REGISTRATION PARALEGAL |
