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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 | 2025-09-05 |
Branch Locations
750 Old Main Street Suite 303, Rocky Hill, CT 06067 • United States
Marion, CT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 1St Global Capital Corp. | Rocky Hill | CT | 08/1997 | 10/2019 |
| 1St Global Advisors,Inc | Rocky Hill | CT | 07/2000 | 10/2019 |
| Avantax Insurance Services, Inc. | Rocky Hill | CT | 01/2004 | 09/2025 |
| Charles Bailey & Associates, Llc | Rocky Hill | CT | 12/2005 | Present |
| Avantax Advisory Services | Rocky Hill | CT | 10/2019 | 09/2025 |
| Avantax Investment Services, Inc. | Rocky Hill | CT | 10/2019 | 09/2025 |
| Cetera Wealth Services, Llc | Marion | CT | 09/2025 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 09/2025 | Present |
1) BEACON WEALTHCARE SERVICES, INC POSITION: PRESIDENT NATURE: Financial servics INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 01/01/2003 ADDRESS: Rocky Hill CT , United States DESCRIPTION: Provide financial services to clients 2) CHARLES BAILEY & ASSOCIATES, LLC POSITION: CPA NATURE: CPA firm INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 12/01/2005 DESCRIPTION: CPA firm
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-14 |
| S63 | Uniform Securities Agent State Law Examination | 1997-10-28 |
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