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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2025-06-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| M&T Bank | Pottsville | PA | 07/1997 | 11/2017 |
| M&T Securities | Pottsville | PA | 06/2002 | 11/2017 |
| Nationwide Securities, Llc | Columbus | OH | 12/2017 | 12/2019 |
| Nationwide Insurance | Cressona | PA | 11/2017 | 12/2019 |
| Lpl Financial, Llc | Cressona | PA | 01/2020 | 06/2025 |
| Cetera Advisors Llc | St Cloud | MN | 06/2025 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2025 | Present |
| Haven Financial Services Llc | Schuylkill Haven | PA | 06/2025 | Present |
1. NAME OF OTHER BUSINESS: HAVEN FINANCIAL SERVICES LLC; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 6/2025, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2. NAME OF OTHER BUSINESS: AARP; INVESTMENT RELATED: NO; ADDRESS: 23 MEADOW BROOK DR, SCHUYLKILL HAVEN, PA 17972; NATURE OF BUSINESS: VOLUNTEERING; START DATE: 2/2026; POSITION/TITLE/RELATIONSHIP: SITE COORDINATOR AND PREPARER FOR TAX PROGRAM; APX NUMBER OF HOURS PER WEEK: 9; APX NUMBER OF HOURS DURING TRADING HOURS: 9; BRIEF DESCRIPTION OF DUTIES: VOLUNTEER SITE COORDINATOR AND TAX PREPARER FOR TAX RETURNS FOR INDIVIDUALS ELIGIBLE FOR AARP;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-05-24 |
| S63 | Uniform Securities Agent State Law Examination | 2002-11-11 |
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