RIA Intelligence

CEPONIS, DAVID, JAY

Legal name: CEPONIS FINANCIAL GROUP

CRD #115390 SEC #801-66152 WILTON, CT 203-762-2117
SEC Registered
Total AUM
$55.4M
Discretionary
$48.2M
Employees
1
Clients
101
Accounts
189

Firm Details

Organization Type
Sole Proprietorship
State of Formation
Connecticut
Fiscal Year End
DECEMBER
Registration Date
--
Latest Filing
Dec 14, 2011
Branch Offices
--

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

NameTypeTitle / StatusOwnershipControl
CEPONIS, DAVID, JAYISOLE PROPRIETORE Control
CEPONIS, DAVID, JAYICHIEF COMPLIANCE OFFICERE Control
CEPONIS, DAVID, JAYISOLE PROPRIETORE Control
CEPONIS, DAVID, JAYICHIEF COMPLIANCE OFFICERE Control
CEPONIS, DAVID, JAYISOLE PROPRIETORE Control
CEPONIS, DAVID, JAYICHIEF COMPLIANCE OFFICERE Control
CEPONIS, DAVID, JAYISOLE PROPRIETORE Control
CEPONIS, DAVID, JAYICHIEF COMPLIANCE OFFICERE Control
CEPONIS, DAVID, JAYISOLE PROPRIETORE Control
CEPONIS, DAVID, JAYICHIEF COMPLIANCE OFFICERE Control
CEPONIS, DAVID, JAYISOLE PROPRIETORE Control
CEPONIS, DAVID, JAYICHIEF COMPLIANCE OFFICERE Control
CEPONIS, DAVID, JAYISOLE PROPRIETORE Control
CEPONIS, DAVID, JAYICHIEF COMPLIANCE OFFICERE Control
CEPONIS, DAVID, JAYISOLE PROPRIETORE Control
CEPONIS, DAVID, JAYICHIEF COMPLIANCE OFFICERE Control
CEPONIS, DAVID, JAYISOLE PROPRIETORE Control
CEPONIS, DAVID, JAYICHIEF COMPLIANCE OFFICERE Control
CEPONIS, DAVID, JAYISOLE PROPRIETORE Control
CEPONIS, DAVID, JAYICHIEF COMPLIANCE OFFICERE Control

Registrations

Federal

IA
Dec 14, 2011 REGISTERED

Notice Filings (2)

CT NY

Address

195 DANBURY ROAD
SUITE 200
WILTON, CT 06897
United States
Phone: 203-762-2117