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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2023-06-29 |
Branch Locations
233 South Wacker Drive Suite 1800, Chicago, IL 60606 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2022-12-21 |
Branch Locations
200 Liberty Street 6Th Floor, New York, NY 10281 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Wealth Services, Llc | El Segundo | CA | 09/2013 | Present |
| Amazon Flex | Seattle | WA | 07/2021 | 10/2023 |
| Georgetown Financial Group, Inc | Georgetown | CT | 05/2009 | Present |
| Lido Consulting Group Llc | Farmington | CT | 12/2022 | Present |
| Willis Towers Watson Securities, Llc | New York | NY | 12/2022 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
| Robin'S Nest | Farmington | CT | 07/2026 | Present |
1. GEORGETOWN FINANCIAL GROUP, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, DBA NAME FOR FINANCIAL SERVICES, START 05/2009, 40HRS/WK (32.5 TRADING HOURS), CHIEF OPERATING OFFICER, WEALTH MANAGEMENT DIVISION - DAY-TO-DAY COMPLIANCE/OPERATIONS ACTIVITIES; 2. NAME OF OTHER BUSINESS: LIDO CONSULTING GROUP LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: COMPLIANCE CONSULTING SERVICES; START DATE: 12/2022; POSITION/TITLE/RELATIONSHIP: OWNER/PRESIDENT; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 4; BRIEF DESCRIPTION OF DUTIES: ASSIST WITH FINRA FILINGS, COMPLIANCE AND REGULATORY OVERSIGHT; 3. NAME OF OTHER BUSINESS: WILLIS TOWERS WATSON SECURITIES, LLC -, INVESTMENT RELATED: YES, ADDRESS: ADDRESS: 200 LIBERTY ST, 6TH FLOOR, NEW YORK, NY, 10281, NATURE OF BUSINESS: ADVISORY SERVICES, POSITION/TITLE/RELATIONSHIP: IAR, START DATE: 12/2022, APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: COMPLIANCE OVERSIGHT, REGULATORY INTERACTION, AND AUDIT FUNCTIONS; 4. NAME OF OTHER BUSINESS: WILLIS TOWER WATSON SECURITIES, LLC, INVESTMENT RELATED: YES, ADDRESS: 200 LIBERTY ST, 6TH FLOOR, NEW YORK, NY, 10281, NATURE OF BUSINESS: BROKER DEALER, START DATE: 12/2022, POSITION/TITLE/RELATIONSHIP: PART TIME CCO, APX NUMBER OF HOURS PER WEEK: 4, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: DUAL AFFILIATION TO OVERSEE ALL COMPLIANCE, REGULATORY INTERACTION, AND AUDIT FUNCTIONS. 5. NAME OF OTHER BUSINESS: ROBIN'S NEST INVESTMENT RELATED: N ADDRESS: 21 FAIRLAWN STREET FARMINGTON CT 06032 NATURE OF BUSINESS: TO CREATE AND PUBLISH ORIGINAL LIFESTYLE AND PERSONAL-INTEREST CONTENT THROUGH AN ONLINE NEWSLETTER AND RELATED SOCIAL MEDIA PLATFORMS. START DATE: 08/2026 POSITION/TITLE/RELATIONSHIP: OWNER/ CONTENT CREATOR APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: OWNER AND PUBLISHER OF "MY ROBIN'S NEST," A PERSONAL ONLINE PUBLICATION AND RELATED SOCIAL MEDIA PRESENCE FOCUSED ON LIFESTYLE, TRAVEL, WELLNESS, PERSONAL REFLECTIONS, NOSTALGIA, AND GENERAL INTEREST CONTENT. THE PUBLICATION IS INTENDED FOR EDUCATIONAL, INFORMATIONAL, AND ENTERTAINMENT PURPOSES ONLY AND IS UNRELATED TO SECURITIES, INVESTMENT ADVICE, FINANCIAL PLANNING, OR ADVISORY SERVICES
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-11-16 |
| S63 | Uniform Securities Agent State Law Examination | 1997-07-02 |
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