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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 |
| TX | RA | APPROVED_RES | 2023-06-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| T. Rowe Price Investment Services | Owings Mills | MD | 04/2007 | 01/2019 |
| Summit Brokerage Services Inc | Boca Raton | FL | 01/2019 | 09/2019 |
| Cetera Wealth Services, Llc | El Segundo | CA | 09/2019 | Present |
| Summit Financial Group | Hanover | PA | 04/2019 | 05/2021 |
| Hcm Wealth Advisory Group, Llc | Hanover | PA | 01/2022 | 10/2023 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
(1) NAME OF OTHER BUSINESS: WEST MANHEIM ELEMENTARY FOOTBALL ASSOCIATION; INVESTMENT RELATED: NO; ADDRESS: 1418 BALTIMORE STREET SUITE 12-234 HANOVER, PA 17331; NATURE OF BUSINESS: NON PROFIT ; START DATE: 8/2022; POSITION/TITLE/RELATIONSHIP: VICE-PRESIDENT/TREASURER ; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: WILL VOTE ON ISSUES FOR THE OPERATION OF THE YOUTH PROGRAM, TRACK DEPOSITS AND WITHDRAWALS ON CHECKING ACCOUNT; (2) NAME OF OTHER BUSINESS: RIGGLE WEALTH GROUP, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 10/2023; 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 | 2019-04-11 |
| S63 | Uniform Securities Agent State Law Examination | 2005-04-05 |
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