Shannon R. Vizza

HTG INVESTMENT ADVISORS

New Canaan, CT 06840

Some features on this profile are disabled

CRD#: 2535927

Professional summary

Shannon Rose Vizza, who also goes by Shannon Rose Gorman, is a registered financial advisor currently at HTG INVESTMENT ADVISORS INC located in New Canaan, Connecticut.

Shannon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Shannon has worked at 2 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Shannon Rose Gorman

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shannon Rose Vizza's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

June 1, 2018 - Present

HTG INVESTMENT ADVISORS INC

Office #1: 50 Locust Avenue, New Canaan, CT 06840

RIA

CRD#: 108614

New Canaan, CT

Past

October 17, 1994 - June 14, 1996

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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".

HTG INVESTMENT ADVISORS INC

CRD#: 108614 / SEC#: 801-55553

RIA

Registered Investment Advisory firm - (5/14/1998 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(6/1/2018)

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

IAR

Series 65

Date: 6/1/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/25/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 11/2/1994

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/14/1994

General Securities Representative Examination

Current Firm

HTG INVESTMENT ADVISORS INC

CRD#: 108614 / SEC#: 801-55553

RIA

Registered Investment Advisory firm - (5/14/1998 Approved)

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

50 Locust Avenue, New Canaan, CT 06840

Mailing Address

Phone number

(203) 972-8262

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HTG INVESTMENT ADVISORS INC FORM ADV PART 2A DISCLOSURE BROCHURE AND PART 2B BROCHURE SUPPLEMENT (7/2/2025)

Regulatory assets under management

Total Number of Accounts	1,411
AUM (Assets Under Management)	$ 968,660,508

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

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Brian Marchini

LPL ENTERPRISE, LLC

IAR

White Plains, NY

Philip Meese

AE WEALTH MANAGEMENT, LLC

IAR

Darien, CT

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Shannon R. Vizza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shannon Rose Vizza's CRS (Customer Relationship Summary).

Certified licenses

Experience

HTG INVESTMENT ADVISORS INC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

HTG INVESTMENT ADVISORS INC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/1/2018

Series 63

Date: 10/25/1994

Series 31

Date: 11/2/1994

Series 7

Date: 10/14/1994

Current Firm

HTG INVESTMENT ADVISORS INC

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HTG INVESTMENT ADVISORS INC

TRUST BUT VERIFY

Similar Advisors