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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-08-21 |
Branch Locations
26422 Hardin Store Road, Magnolia, TX 77354 • United States
Montgomery, TX • United States
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 01/2017 | 05/2018 |
| Northwestern Mutual Investment Services Llc | Houston | TX | 01/2017 | 05/2018 |
| National Life Group Esi | Houston | TX | 02/2015 | 12/2016 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 01/2017 | 05/2018 |
| Next Financial Group | Spring | TX | 07/2018 | 08/2024 |
| Dba Innovative Premier Financial Services | Houston | TX | 05/2015 | Present |
| Cetera Wealth Services, Llc | El Segundo | CA | 08/2024 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 08/2024 | 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: 1/1999 APX NUMBER OF HOURS PER WEEK: 20 APX NUMBER OF HOURS DURING TRADING HOURS: 20 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SALES OF INSURANCE PRODUCTS; 2. NAME OF OTHER BUSINESS: KATE FRANK - LANDLORD INVESTMENT RELATED: NO ADDRESS: MONTGOMERY, TX 77316 NATURE OF BUSINESS: REAL ESTATE START DATE: 9/2021 POSITION/TITLE/RELATIONSHIP: LANDLORD APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: LANDLORD DUTIES; 3. NAME OF OTHER BUSINESS: DBA INNOVATIVE PREMIER FINANCIAL SERVICES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INSURANCE AND FINANCIAL SERVICES START DATE: 5/2015 POSITION/TITLE/RELATIONSHIP: PRESIDENT APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDING INSURANCE AND FINANCIAL SERVICES TO CLIENTS, TRAINING NEW ADVISORS AND AGENTS; 4. NAME OF OTHER BUSINESS: ZARC FINANCIAL, LLC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: CORPORATE ENTITY FOR ALL TAX PURPOSES START DATE: 5/2024 POSITION/TITLE/RELATIONSHIP: PRESIDENT APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: TRAINING NEW INSURANCE AGENTS, PROVIDING POLICIES TO CLIENTS; 5. NAME OF OTHER BUSINESS: IPFS PLANNING; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 9/2024, POSITION/TITLE/RELATIONSHIP: OWNER/CEO, 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 |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-05-10 |
| S63 | Uniform Securities Agent State Law Examination | 2013-08-24 |
| S66 | Uniform Combined State Law Examination | 2004-03-24 |
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