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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-04-28 |
| TX | RA | APPROVED | 2025-04-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Merrick | NY | 03/2006 | 02/2018 |
| Kestra Iinvestment Services, Llc | Merrick | NY | 02/2018 | 04/2025 |
| Kestra Advisory Services, Llc | Merrick | NY | 02/2018 | 04/2025 |
| Cetera Wealth Services, Llc | El Segundo | CA | 04/2025 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 04/2025 | Present |
| 1840 Merrick Llc | Merrick | NY | 01/2014 | Present |
| Merrick Financial Group | Merrick | NY | 03/2006 | Present |
| Merrick Planning Group | Merrick | NY | 01/2014 | Present |
| Eric G. Moore Inc | Merrick | NY | 12/2011 | Present |
1. NAME OF OTHER BUSINESS: 1840 MERRICK LLC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: REAL ESTATE START DATE: 01/2014 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: OWNER OF BUILDING USED FOR OFFICE; 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 05/2000 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 5 BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 3. NAME OF OTHER BUSINESS: MERRICK FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: DBA FOR MARKETING START DATE: 03/2006 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 50 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: IT IS A DBA FOR THE INVESMENT BUSINESS; 4. NAME OF OTHER BUSINESS: MERRICK PLANNING GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: DBA FINANCIAL ADVISORY START DATE: 01/2014 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 50 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: FINANCIAL ADVISOR; 5. NAME OF OTHER BUSINESS: ERIC G. MOORE INC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FLOW THROUGH ENTITY START DATE: 12/2011 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 50 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: USED FOR COMPENSATION FROM MERRICK PLANNING GROUP AND EXPENSES.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-06-08 |
| S63 | Uniform Securities Agent State Law Examination | 1997-07-11 |
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