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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2025-02-20 |
| TX | RA | APPROVED_RES | 2025-02-20 |
Branch Locations
20 S Reamstown Road, Stevens, PA 17578 • United States
226 S Reading Road, Ephrata, PA 17522 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Concourse Financial Group Securities Inc | Ephrata | PA | 11/2014 | 02/2025 |
| (Dba) Pathway Financial Group | Ephrata | PA | 07/2003 | Present |
| Cetera Wealth Services, Llc | Ephrata | PA | 02/2025 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 02/2025 | Present |
(dba) PATHWAY FINANCIAL GROUP; Investment Related; 860 N Reading Road, Ephrata, PA 17522; Financial Adviser; Start Date 07/2003; 160 hours per month; Meet with clients and provide financial services and products as needed. >> VISION FINANCIAL SERVICES, LLC; Investment Related; 226 S Reading Rd, Ephrata, PA 17522; Financial Adviser; Start Date 01/2016; 10 hours per month; Business relationship with local CPA firm, we both run our shared clients through Vision Financial Services for securities and insurance products. >> ASPER FINANCIAL SERVICES; Investment Related; 860 N Reading Road, Ephrata, PA 17522; Owner; Start Date 07/2003; 5 hours per month; This dba is for tax filing and payroll purposes, all sales and financial products are marketed and completed through either Pathway Financial Services or Vision Financial Services. >> ALIGN LIFE MINISTRIES; Non-Investment Related; 131 S. 8th St, Lebanon, PA 17042; Educational; Board member - Chairman; Start Date 01/2012; 4 hours per month; Bi-monthly board meetings, vision and oversight for the organization. >> REAL ESTATE; Investment Related; Stevens, PA; Real Estate; Owner/Landlord; Start Date 09/2022; 5 hours per month with no hours per month during trading hours; My spouse and I own several rental units on which we collect rent from and maintain.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-03-22 |
| S63 | Uniform Securities Agent State Law Examination | 2001-02-15 |
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