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Current Employers
Lincoln Investment

601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2023-08-04
IN RA APPROVED 2023-08-04
  • IL RA
    APPROVED
    Since 2023-08-04
  • IN RA
    APPROVED
    Since 2023-08-04

Branch Locations

Crystal Lake, IL • United States

Suite 150 500 Waters Edge, Lombard, IL 60148 • United States

Capital Analysts

601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2023-08-04
IN RA APPROVED 2023-08-04
  • IL RA
    APPROVED
    Since 2023-08-04
  • IN RA
    APPROVED
    Since 2023-08-04

Branch Locations

Saint John, IN • United States

500 Water Edges Lane Suite 150, Lombard, IL 60148 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Valic Financial Advisors Houston TX 01/2008 07/2023
Agia Houston TX 12/2022 08/2023
Lincoln Investment Fort Washington PA 07/2023 Present
Capital Analysts Fort Washington PA 08/2023 Present
  • 01/2008 → 07/2023
    Valic Financial Advisors
    Houston, TX
  • 12/2022 → 08/2023
    Agia
    Houston, TX
  • 07/2023 → Present
    Fort Washington, PA
  • 08/2023 → Present
    Fort Washington, PA
Previous Registrations
Other Businesses

WEALTHGUIDE ADVISORS LLC POSITION: Agent NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 2 START DATE: 08/04/2023 ADDRESS: 500 Waters Edge Lane, Suite 150, Lombard IL 60148, United States DESCRIPTION: Life and Long Term Care insurance sales and fixed annuities. THG FINANCIAL POSITION: Agent NATURE: Non-Variable insurance sales (fixed life, fixed annuities, health and long-term care insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 9 SECURITIES TRADING HOURS: 9 START DATE: 05/06/2024 ADDRESS: 100 Tri-State International, Suite 145, Lincolnshire IL 60069, United States DESCRIPTION: Non-Variable insurance sales (fixed life, fixed annuities, health and long-term care insurance) NFMB, LLC Position: Founder Nature: Tax/Accounting Purposes Investment Related: No Hours: 1 Securities Trading Hours: 1 Start Date: 8/4/2023Address: 500 Waters Edge, Suite 150 Lombard, IL  60148 Description: Journal Lincoln compensation through it for tax/accounting purposes

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-03-19
S63 Uniform Securities Agent State Law Examination 2003-07-16
  • S66 Uniform Combined State Law Examination
    2008-03-19
  • S63 Uniform Securities Agent State Law Examination
    2003-07-16

View on SEC IAPD

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