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565 E. Swedesford Road Suite 100, Wayne, PA 19087 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-02-11 |
| WA | RA | APPROVED | 2016-10-10 |
Branch Locations
1420 5Th Avenue Suite 1500, Seattle, WA 98101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Seattle | WA | 11/2010 | 08/2017 |
| Alliant Retirement Services | Houston | TX | 07/2015 | 08/2017 |
| Cetera Advisor Networks | El Segundo | CA | 08/2017 | Present |
1.NAME OF OTHER BUSINESS: ALLIANT RETIREMENT SERVICES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADVISORY BUSINESS POSITION/TITLE/RELATIONSHIP: ADVISORY REPRESENTATIVE START DATE: 7/2015 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: ADVISORY REPRESENTATIVE 2. NAME OF OTHER BUSINESS: ALLIANT RETIREMENT SERVICE, LLC, DBA ALLIANT RETIREMENT CONSULTING INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADVISORY BUSINESS OFFERED THROUGH ON OUTSIDE RIA START DATE: 7/2015 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: I AM ASSOCIATED WITH THE RIA AND CAN DO ADVISORY BUSINESS. 3. NAME OF OTHER BUSINESS: ASPPA BENEFITS COUNSEL OF THE GREAT NORTHWEST BOARD MEMBERS INVESTMENT RELATED: NO ADDRESS: 42445 N. FAIRFAX DRIVE, SUITE 750, ARLINGTON, VA 22203 NATURE OF BUSINESS: NETWORKING AND EDUCATIONAL OPPORTUNITIES START DATE: 12/2015 APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: AT-LARGE POSITION (2) 06/17/2016 - Alliant Retirement Consulting - Registered Investment Advisor DBA - Alliant Retirement Consulting - INV REL - START 06/08/2016 - 1420 5th Ave Ste 1500 Seattle WA 98101 - Serving in an Administrative Capacity Only - 120 HR/MO, 120 DURING SECS TRDG HRS
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-09-28 |
| S63 | Uniform Securities Agent State Law Examination | 2006-07-06 |
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