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3500 Embassy Parkway, Akron, OH 44333 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-10-11 |
| OH | RA | APPROVED | 2022-01-12 |
Branch Locations
6095 Parkland Blvd, Suite 210, Mayfield Heights, OH 44124 • United States
3500 Embassy Parkway, Akron, OH 44333 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Royal Alliance Associates Inc. | Cleveland | OH | 11/2001 | 03/2022 |
| Financial Planners Of Cleveland, Inc. Dba Nca Financial | Mayfield Hts | OH | 06/2000 | 01/2022 |
| Sequoia Financial Group, Llc | Mayfield Heights | OH | 01/2022 | Present |
1) INVESTMENT ADVISOR REPRESENTATIVE OF INDEPENDENT RIA, FINANCIAL PLANNERS OF CLEVELAND, INC. DBA NCA FINANCIAL PLANNERS. THIS BUSINESS IS INVESTMENT RELATED. APPLICANT IS EMPLOYEE OF FIRM STARTING 9/05. APPROX. 80% OF TIME DEVOTED DURING SECURITIES TRADING HOURS. DUTIES ARE TO ADVISE CLIENTS ON INVESTMENTS TO PURCHASE TO MEET THEIR GOALS. 2) LICENSED INSURANCE AGENT - 2/25/03-CURRENT- 10 HRS/MO - TERM INSURANCE AND LONG TERM CARE - FOR FINANCIAL PLANNERS OF CLEVELAND, INC. DBA NCA FINANCIAL PLANNERS. 3) LOCAL TV NEWS AND RADIO SHOW SPOT, NON INVESTMENT RELATED, ON AIR TALENT FOR LOCAL STATION IN CLEVELAND OHIO, STARTING AUGUST 2013, LESS THAN 1 HOUR PER MONTH SPENT DURING TRADING HOURS. 4) POA FOR GEORGIA ROSS POSITION: Power of Attorney NATURE: Individual INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/01/2019 ADDRESS: 4383 Executive Cir NW, Canton OH 44718, United States DESCRIPTION: I am the Power of Attorney for my mother-in-law's investment accounts held at Ameriprise Financial.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-07-19 |
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