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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2022-08-09 |
Branch Locations
4770 State Road 64 East, Bradenton, FL 34208 • 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 |
|---|---|---|---|---|
| Bank Of America, N.A. | Fort Myers | FL | 10/2015 | 09/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Fort Myers | FL | 10/2015 | 09/2021 |
| Hancock Whitney Bank | Bradenton | FL | 09/2021 | Present |
| Hancock Whitney Investment Services, Inc. | Bradenton | FL | 09/2021 | 08/2022 |
| Cetera Investment Services | Saint Cloud | MN | 07/2022 | Present |
| Cetera Investment Advisers Llc | Bradenton | FL | 07/2022 | Present |
1. BOARD OF DIRECTOR FOR MANATEE EDUCATION FOUNDATION; DISCUSS LOCAL NEEDS WITHIN SCHOOLS AND PROVIDE FUNDS WHERE NEEDED 2. PRESIDENT OF BOARD OF DIRECTORS FOR MANATEE LIBRARY FOUNDATION; DISCUSS LOCAL NEEDS WITHIN SCHOOLS AND PROVIDE FUNDS WHERE NEEDED, 1/HR/WK
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-08-04 |
| S63 | Uniform Securities Agent State Law Examination | 1996-12-13 |
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