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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2025-10-01 |
| CT | RA | APPROVED | 2025-09-30 |
Branch Locations
140 Elm Street, New Canaan, CT 06840 • United States
198 Us Hwy 9 North Suite 204, Manalapan, NJ 07726 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Locorr Distributors, Llc | Excelsior | MN | 01/2017 | 07/2020 |
| Unemployed | New York | NY | 01/2016 | 12/2016 |
| Alps Distributors, Inc | Denver | CO | 08/2020 | 02/2025 |
| Flx Distribution, Llc | Bernardsville | NJ | 08/2020 | 02/2025 |
| Commonwealth Financial Network | Waltham | MA | 03/2025 | 06/2025 |
| King Financial Network | Manalapan | NJ | 03/2025 | 06/2025 |
| Commonwealth Financial Network | Waltham | MA | 06/2025 | 09/2025 |
| King Financial Network | Manalapan | NJ | 06/2025 | Present |
| Cetera Wealth Services, Llc | El Segundo | CA | 09/2025 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 09/2025 | Present |
1. NAME OF OTHER BUSINESS: KING FINANCIAL NETWORK INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 06/2025 POSITION/TITLE/RELATIONSHIP: SENIOR RELATIONSHIP MANAGER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 35 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES 2. NAME OF OTHER BUSINESS: NEW CANAAN CARES INVESTMENT RELATED: NO ADDRESS: 61 MAIN STREET, NEW CANAAN CT 06840 NATURE OF BUSINESS: BOARD START DATE: 6/1/2026 POSITION/TITLE/RELATIONSHIP: ELECTED BOARD MEMBER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: ATTEND MONTHLY BOARD MEETINGS AND EVENTS 3. NAME OF OTHER BUSINESS: NASDAQ; INVESTMENT RELATED: NO; ADDRESS: 151 WEST 42ND STREET NEW YORK, NY 10036; NATURE OF BUSINESS: NON PROFIT; START DATE: 06/2026; POSITION/TITLE/RELATIONSHIP: ADVISORY COUNCIL MEMBER; APX NUMBER OF HOURS PER WEEK: 0.5; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ATTEND BOARD MEETINGS;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-05-29 |
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