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Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2023-06-29 |
| PA | RA | APPROVED | 2023-06-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Scottrade, Inc. | Mentor | OH | 04/2006 | 02/2018 |
| Td Ameritrade, Inc. | Omaha | NE | 02/2018 | 03/2018 |
| Scottrade Investment Management | St. Louis | MO | 01/2017 | 03/2018 |
| Axa Advisors, Llc | New York | NY | 04/2018 | 06/2020 |
| Equitable Advisors, Llc | New York | NY | 04/2018 | 04/2021 |
| Tri State Financial Services | Steubenville | OH | 04/2021 | Present |
| Cetera Wealth Services, Llc | El Segundo | CA | 04/2021 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 04/2018 APX NUMBER OF HOURS PER WEEK: 15 APX NUMBER OF HOURS DURING TRADING HOURS: 15 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE 2. NAME OF OTHER BUSINESS: TRI STATE FINANCIAL SERVICES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 03/2021 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 15 APX NUMBER OF HOURS DURING TRADING HOURS: 15 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES; 3. NAME OF OTHER BUSINESS: JEFFERSON COUNTY CHAMBER OF COMMERCE, INVESTMENT RELATED: NO, ADDRESS: 630 MARKET ST, STEUBENVILLE, OH, 43952, NATURE OF BUSINESS: CIVIC, START DATE: 12/2022, POSITION/TITLE/RELATIONSHIP: AMBASSADOR, APX NUMBER OF HOURS PER WEEK: 2, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: REPRESENT CHAMBER OF COMMERCE AT EVENTS, ASSIST WITH EVENTS HELD BY CHAMBER OF COMMERCE; 4. NAME OF OTHER BUSINESS: FOLLANSBEE CHAMBER OF COMMERCE; INVESTMENT RELATED: NO; ADDRESS: 744 VIRGINIA AVE FOLLANSBEE, WV 26037; NATURE OF BUSINESS: NON PROFIT; START DATE: 04/2023; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: PROVIDE INPUT & IDEAS TO HELP THE CHAMBER GROW; 5. NAME OF OTHER BUSINESS: UNITED WAY OF JEFFERSON COUNTY; INVESTMENT RELATED: NO; ADDRESS: 511 N 4TH ST, STEUBENVILLE, OH 43952; NATURE OF BUSINESS: BOARD; START DATE: 6/2023; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: PROVIDE INPUT & IDEAS TO THE EXECUTIVE DIRECTOR TO HELP THE ORGANIZATION GROW & SUPPORT THE COMMUNITY; 6. NAME OF OTHER BUSINESS: JEFFERSON COUNTY CHAMBER OF COMMERCE; INVESTMENT RELATED: NO; ADDRESS: 630 MARKET ST, STEUBENVILLE, OH 43952; NATURE OF BUSINESS: BOARD; START DATE: 11/2024; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: PROVIDE INPUT AND IDEAS TO HELP THE CHAMBER GROW;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-01-31 |
| S63 | Uniform Securities Agent State Law Examination | 1998-07-20 |
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