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Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SD | RA | APPROVED | 2023-06-29 |
| TX | RA | APPROVED_RES | 2023-06-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| U.S. Bancorp Investments, Inc. | Rapid City | SD | 04/2004 | 05/2019 |
| Cetera Wealth Services, Llc | El Segundo | CA | 05/2019 | Present |
| Point Wealth Advisors | Rapid City | SD | 05/2019 | Present |
| Broadhead, Llc | Rapid City | SD | 05/2019 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
| Broadhead Land Co, Llc | Rapid City | SD | 07/2026 | Present |
1.NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 5/2019 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG-TERM CARE 2.NAME OF OTHER BUSINESS: POINT WEALTH ADVISORS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 5/2019 POSITION/TITLE/RELATIONSHIP: OWNER / REGISTERED REPRESENTATIVE APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: DBA NAME FOR SECURITIES BUSINESS 3.NAME OF OTHER BUSINESS: RAPID CITY CLUB FOR BOYS FOUNDATION INVESTMENT RELATED: NO ADDRESS: 320 N. 4TH ST, RAPID CITY, SD 57701 NATURE OF BUSINESS: VOLUNTEER START DATE: 6/2013 POSITION/TITLE/RELATIONSHIP: BOARD MEMBER APX NUMBER OF HOURS PER WEEK: <1 APX NUMBER OF HOURS DURING TRADING HOURS: <1 BRIEF DESCRIPTION OF DUTIES: CHARITABLE ORGANIZATION FOR PROVIDING A SAFE PLACE FOR BOYS TO GO 4.NAME OF OTHER BUSINESS: RENTAL PROPERTY INVESTMENT RELATED: NO ADDRESS: 11028 BUFFALO TRAIL, LEAD, SD 57747 NATURE OF BUSINESS: VACATION RENTAL START DATE: 6/2009 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: <1 APX NUMBER OF HOURS DURING TRADING HOURS: <1 BRIEF DESCRIPTION OF DUTIES: RENTAL PROPERTY 5. NAME OF OTHER BUSINESS: BROADHEAD, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR TAX PURPOSES; START DATE: 5/2019; POSITION/TITLE/RELATIONSHIP: CO-OWNER; APX NUMBER OF HOURS PER WEEK: NONE; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: OWNER, DBA FOR TAX PURPOSES; 6. NAME OF OTHER BUSINESS: MAJ, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: HOLDING COMPANY; START DATE: 07/2025; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ENTITY FOR MARKETING PURPOSES; 7. NAME OF OTHER BUSINESS: BROADHEAD LAND CO, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: REAL ESTATE RENTAL; START DATE: 7/2026; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: REAL ESTATE RENTAL;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-03-02 |
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