Shareholder · Thames Financial Management
Denise G Lindell
CRD 7862927 · Named on Form ADV at one SEC-registered adviser
At a glance
Thames Financial Management, an SEC-registered wealth manager based in Norwich, CT with $315 million in regulatory assets, lists Denise G Lindell on its Form ADV as Shareholder.
Firms and roles
- Thames Financial ManagementShareholderWealth manager · Norwich, CT · $315M in regulatory assets
AtlasMembers
Denise’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
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- Control-person status
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- When each role began
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- Each firm’s assets and growth
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Colleagues named on the same filings
- Steven L. BokoffPresident, Treasurer, Thames Financial Management
- Andrew D. SawyerChief Compliance Officer / Vice President, Thames Financial Management
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Denise’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.