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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| RI | RA | APPROVED | 2023-08-10 |
| TX | RA | APPROVED_RES | 2023-08-10 |
Branch Locations
3047 East Main Rd St 3A, Portsmouth, RI 02871 • 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 |
|---|---|---|---|---|
| Minnesota Life | St. Paul | MN | 11/2000 | 08/2023 |
| Securian Financial Services Inc | St. Paul | MN | 11/2000 | 08/2023 |
| Pioneer Financial Group | Warwick | RI | 11/2000 | Present |
| Cetera Wealth Services, Llc | Portsmouth | RI | 08/2023 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 08/2023 | Present |
1. PIONEER FINANCIAL GROUP POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 12/01/2003 ADDRESS: , Warwick RI , United States DESCRIPTION: Agent/Broker; 2. NAME OF OTHER BUSINESS: A & E INVESTMENTS, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: EXPENSE MANAGEMENT; START DATE: 6/2025; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: FOR TAX PURPOSES AND TO RECEIVE INCOME;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-01-10 |
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