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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 | 2023-06-29 |
Branch Locations
4949 Liberty Lane Suite 120, Allentown, PA 18106 • United States
881 3Rd St, Whitehall, PA 18052 • United States
Macungie, PA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Axa Advisors, Llc | New York | NY | 02/2003 | 06/2020 |
| Equitable Advisors, Llc | New York | NY | 02/2003 | 08/2020 |
| Voya Financial Advisors, Inc. | Whitehall | PA | 08/2020 | 06/2021 |
| Cetera Wealth Services, Llc | El Segundo | CA | 06/2021 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
| Pembroke Wealth | Bensalem | PA | 12/2025 | Present |
1. NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 881 3RD ST; WHITEHALL; PA; 18052; Fixed Insurance Sales; INDEPENDENT INSURANCE AGENT; 8/20/2020; 160; 160; Sales of Fixed Insurance Products; 2. NAME OF ENTITY: WealthWorks Financial; Yes; 881 Third St, Suite A-7; Whitehall; PA; 18017; Financial Services/dba; Co-Founder; 12/4/2020; 160; 160; Sale and Service Insurance, Securities and Investment Products; 3. NAME OF OTHER BUSINESS: LIFE SETTLEMENT BUSINESS; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: LIFE SETTLEMENT; START DATE: 12/2022; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE SETTLEMENTS THROUGH WELCOME FUNDS, INC; 4. NAME OF OTHER BUSINESS: WEALTHWORKS FINANCIAL; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX PLANNING AND PREPARATION; START DATE: 04/2024; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: TAX PLANNING AND PREPARATION SERVICES; 5. NAME OF OTHER BUSINESS: BROOKSIDE COUNTRY CLUB OF ALLENTOWN BOARD MEMBER; INVESTMENT RELATED: NO; ADDRESS: 801 WILLOW LN, MACUNGIE, PA 18062; NATURE OF BUSINESS: BOARD; START DATE: 11/2024 POSITION/TITLE/RELATIONSHIP: BOARD MEMBER/ GOLF COMMITTEE CHAIR; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: VOTE ON CLUB ISSUES FOR THE CLUB AND RUN THE GOLF COMMITTEE; 6. NAME OF OTHER BUSINESS: WEALTHWORKS LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR TAX PURPOSES; START DATE: 04/2024; POSITION/TITLE/RELATIONSHIP: PRINCIPAL; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: DBA FOR TAX PURPOSES; 7. NAME OF OTHER BUSINESS: PEMBROKE WEALTH; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 12/2025, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-04-09 |
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