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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2023-12-22 |
Branch Locations
201 E. Main St Suite 520, Lexington, KY 40507 • United States
Lexington, KY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Company | Downers Grove | IL | 09/2007 | 11/2023 |
| Affiliated Financial Specialists | Elgin | IL | 09/2006 | 10/2019 |
| Me Insurance Group | Lombard | IL | 02/2009 | 07/2020 |
| Principal Securities Inc | Downers Grove | IL | 03/2016 | 11/2023 |
| Cetera Investment Services Llc | Saint Cloud | MN | 12/2023 | Present |
| Cetera Investment Advisers Llc | Lexington | KY | 12/2023 | Present |
1. RESIDUALS FROM INSURANCE (LTC-GENWORTH; DI-PETERSEN, PRINCIPAL, ASSURITY; LI-PRINCIPAL, AIG, METLIFE, WEST COAST 2. DISABILITY INSURANCE WITH PETERSEN INTERNATIONAL UNDERWRITERS (LEGACY BUSINESS) 3. BOARDMEMBER FOR WESTERN PRIDE BUILDERS & DEVELOPERS, LESS THAN 1% OWNER 4. BOARDMEMBER FOR DUPLEX ELECTRIC, LESS THAN 1% OWNER
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-02-21 |
| S63 | Uniform Securities Agent State Law Examination | 2008-04-15 |
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