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.
2024
Layered Financial, LLC - January 3
2023
Calm River Capital LLC - November 14
2022
The Financial Wellness Center LLC - January 3
2021
There were no 2021 conditional registrations
2020
There were no 2020 conditional registrations
2019
There were no 2019 conditional registrations
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.