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Three Parkway North Suite 500, Deerfield, IL 60015-2567 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2022-02-01 |
Branch Locations
Three Parkway North Suite 500, Deerfield, IL 60015-2567 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Triad Advisors, Inc | Norcross | GA | 05/2013 | 11/2021 |
| Alera Investment Advisors | Deerfield | IL | 11/2021 | Present |
| Osaic Wealth, Inc. | Chicago | IL | 08/2024 | Present |
1) ALERA INVESTMENT ADVISORS POSITION: Chief Compliance Officer NATURE: Registered Investment Advisor INVESTMENT RELATED: Yes NUMBER OF HOURS: 140 SECURITIES TRADING HOURS: 140 START DATE: 08/15/2023 ADDRESS: Three Parkway North, Suite 500, Deerfield IL 60015 DESCRIPTION: Administer compliance program for AIA.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-05-21 |
| S63 | Uniform Securities Agent State Law Examination | 2001-05-05 |
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