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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AR | RA | APPROVED | 2019-03-06 |
Branch Locations
400 West Capitol Ave Suite 250, Little Rock, AR 72201 • United States
Little Rock, AR • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Daniel Const. Inc. | Little Rock | AR | 01/1983 | 11/2017 |
| Ids Life Insurance Company | Little Rock | AR | 02/1988 | 11/2017 |
| American Express Financial Advisors Inc. | Little Rock | AR | 02/1988 | 11/2017 |
| Regions Bank | Little Rock | AR | 12/2017 | Present |
| Cetera Investment Services Llc | St. Cloud | MN | 11/2018 | Present |
REGIONS BANK WEALTH ADVISOR, DEAL WITH HIGH NET WORTH INDIVIDUAL CLIENTS FOR BANK RESPONSIBILITIES
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-03-04 |
| S65 | Uniform Investment Adviser Law Examination | 1995-07-17 |
| S63 | Uniform Securities Agent State Law Examination | 1988-03-25 |
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