Claudia J. Jacques-soto

Some features on this profile are disabled

CRD#: 1038133

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Claudia June Jacques-soto, who also goes by Claudia Jacques-soto, was a registered financial professional .

Claudia is a previously registered financial professional and started their career in finance in 1982. Claudia had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Claudia Jacques-Soto

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

(1) Independent Insurance Agent

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 11, 2019 - August 16, 2023

CONNECTICUT WEALTH MANAGEMENT, LLC

RIA

CRD#: 154310

FARMINGTON, CT

Past

May 14, 1993 - June 4, 2019

LPL FINANCIAL LLC

RIA

CRD#: 6413

BLOOMFIELD, CT

Past

December 16, 1989 - June 4, 2019

LPL FINANCIAL LLC

CRD#: 6413

BLOOMFIELD, CT

Past

October 6, 1987 - June 6, 2019

CAPITAL STRATEGIES, INC.

RIA

CRD#: 125597

BLOOMFIELD, CT

Past

August 7, 1987 - December 16, 1989

LINSCO FINANCIAL GROUP, INC.

CRD#: 524

Past

March 30, 1982 - July 20, 1987

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CONNECTICUT WEALTH MANAGEMENT, LLC

CRD#: 154310 / SEC#: 801-73061

RIA

Registered Investment Advisory firm - (2/3/2012 Approved)

Connecticut

Registered Investment Advisory firm - (2/16/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/23/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/9/1990

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 4/21/1982

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 3/29/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 10/20/2004

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/14/1992

General Securities Principal Examination

Current Firm

CONNECTICUT WEALTH MANAGEMENT, LLC

CRD#: 154310 / SEC#: 801-73061

RIA

Registered Investment Advisory firm - (2/3/2012 Approved)

Connecticut

Registered Investment Advisory firm - (2/16/2012 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

281 Farmington Avenue, Farmington, CT 06032-1911

Mailing Address

Phone number

(860) 470-0290

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CTWM FORM ADV PART 2A - MARCH 2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	4,737
AUM (Assets Under Management)	$ 3,708,773,192

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/25/2025	Cover Page	Report
10/02/2024	Cover Page	Report
09/26/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Claudia J. Jacques-soto

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CAPITAL STRATEGIES, INC.

LINSCO FINANCIAL GROUP, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

CONNECTICUT WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/23/1982

SIE

Date: 10/1/2018

Series 7

Date: 11/9/1990

Series 22

Date: 4/21/1982

Series 6

Date: 3/29/1982

Series 51

Date: 10/20/2004

Series 24

Date: 7/14/1992

Current Firm

CONNECTICUT WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CONNECTICUT WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors