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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-03-24 |
| NE | RA | APPROVED | 2022-04-07 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Great Western Bank | Bellevue | NE | 06/2017 | 04/2022 |
| Cetera Investment Services | Bellevue | NE | 06/2011 | 06/2017 |
| Raymond James Financial Services, Inc. | Bellevue | NE | 06/2017 | 04/2022 |
| Raymond James Financial Services Advisors Inc. | Bellevue | NE | 06/2017 | 04/2022 |
| Great Western Investments & Insurance | Bellevue | NE | 01/2019 | 01/2020 |
| Commonwealth Financial Network | San Diego | CA | 04/2022 | Present |
| Pathfinder Wealth Advisors | Papillion | NE | 04/2022 | Present |
1. Fixed insurance sales; as of 2/7/2022; 10% of time spent during business hours; Conducted at branch location; Investment related. 2. Owner, John Kelly Financial Services, LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 5/12/2023; Less than 1% of time spent during business hours; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-11-30 |
| S63 | Uniform Securities Agent State Law Examination | 2000-09-08 |
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