In accordance with Governor Lamont's emergency declaration, employees and the public are asked to observe social distancing measures to ensure communal safety and to slow the spread of the novel coronavirus (COVID-19). People are asked to work from home and telecommute wherever possible. Adhering to these instructions, the Department of Banking has closed its offices to the public. However, agency staff will continue to provide services to consumers and industry through telework. When contacting the Department, please use electronic communication whenever possible. Agency staff will continue to check voicemails during this time. Consumers are encouraged to use our online form for complaints. If you are unsure where to send an inquiry, you may send it to Department.Banking@ct.gov and it will be routed appropriately. Thank you for your patience during this time.

Securities and Business Investments Division
Conditional Registrations

The Connecticut Uniform Securities Act authorizes the Commissioner to restrict or impose conditions on the securities-related activities of broker-dealers, investment advisers, agents and investment adviser agents as a precondition to registration.

This page lists those registrations that have been formally conditioned as well as those whose conditions were vacated or modified.

For additional information on registration status, contact the department via e-mail, call (860) 240-8230 or visit the Verify a License page. 


2018

Quantum Financial, LLC - June 22

2017

There were no 2017 conditional registrations

2016

Hoya Capital Real Estate, LLC - March 22

2015

There were no 2015 conditional registrations

2014

Fallah, Robert Bobak - May 16  

Rawlings Wealth Management LLC - June 20

2013

Atlantic Alchemy Company, LLC - November 20

Lammergeier Research LLC - August 28
Scott, Justin Michael
Kamshad, Omid

MDS Securities, LLC - July 18

Sageworks Capital Inc. - June 28

2012

Ginder, Jason N. - June 21

Parker Wealth Management, LLC - June 13

Wadsworth, William Frederic, Sr. - November 13

2011

LGAUS LLC d/b/a Landmark Global Advisors LLC - December 27
Byl, Michael James

2010

There were no 2010 conditional registrations

2009

Continental Five Investment Group, LLC - February 11
Sacchetta, Pasquale

Israel A. Englander & Co., Inc. - November 16

OneShare Investments, LLC - June 23

Sands, Martin Scott - June 11

Sands, Steven Brett - July 31

2008

Prophet, Andrew Seafus - October 10

RKS Advisors, LLC - November 4
Strauss, Robert Keith 

2007

Charles Morgan Securities, Inc. - June 12

Dear, Charles Edward - May 22

DMR Investment Advisers, LLC - August 22

M & I Brokerage Services, Inc. - July 30

MLP Real Estate Securities, Inc. - April 25

2006

Harrison Douglas, Inc. - December 20

MIT Associates, LLC  -  January 10

Touloukian, Timothy Robin - December 13

Vildzius, Donatas Belys - August 29

2005

There were no 2005 conditional registrations 

2004

Bakowski, Christopher L. -  September 1
    d/b/a CLB Financial

Landers & Co. LLC  -  April 2
     f/k/a Landers, Lane & Moseley Capital Partners LLC

Sands, Martin Scott -  November 29

2003

Dear, Charles Edward - February 24

Fidelity International Securities, Inc. - August 6
     d/b/a Constitution Capital Corp.