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210 Jones St Ste. 104, Dubuque, IA 52001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2016-11-23 |
Branch Locations
2650 Eastpoint Parkway, Suite 100, Louisville, KY 40223 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cssc Investment Advisory Services | Louisville | KY | 12/2000 | 11/2016 |
| Cssc Brokerage Services, Inc. | Louisville | KY | 03/2007 | 11/2016 |
| Blue & Co, Llc | Louisville | KY | 01/2010 | Present |
| Hk Financial Services, Inc. | Dubuque | IA | 01/2017 | Present |
(1) I am a Director Emeritus with Blue & Co., a regional CPA firm. I am located at 2650 Eastpoint Parkway, Suite 100, Louisville, KY 40223. I have been with the CPA firm since 01/2010. I work approximately 20 hours a month. I provide services that are typical of public accounting, including tax, consulting, and business valuation services upon request. Most of my work is during securities trading hours. My employment is not securities-related or investment-related. (2) I am a Member-Owner and Advisor with Green Street Capital, LLC., a financial services firm. I am located at 2650 Eastpoint Parkway, Suite 100, Louisville, KY 40223. I have been with Green Street since 2005. I work approximately 160 hours a month. I provide wealth management services as a HKFS investment advisor representative to a variety of different clients and client types based on their individual financial needs and risk tolerances. Most of my work is during securities trading hours. My employment is investment-related. (3) I am a board director and shareholder of Benefits Administrators, LLC., a third-party administrator for retirement plans located at 200 W Vine St, Lexington, KY 40507. I devote approximately 3-5 hours a month to this activity, primarily during securities trading hours. I attend quarterly board meetings and provide input to bank management. My participation is not securities-related or investment-related. (4) I provide personal services as a sole proprietor, include consulting, directorships, and trustee services. I am located in Louisville, KY 40205. I devote approximately 3-5 hours per month, mostly during non-securities trading hours. My participation is not securities-related or investment-related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-05-15 |
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