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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2023-06-29 |
| TX | RA | APPROVED | 2023-06-29 |
Branch Locations
622 N Madison Ave Ste 10, Greenwood, IN 46142 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Promise Advisory Group | Greenwood | IN | 03/2007 | Present |
| Voya Financial Advisors | Greenwood | IN | 09/2014 | 06/2021 |
| Cetera Wealth Services, Llc | El Segundo | CA | 06/2021 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1) NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 633 LIBRARY PARK DR STE I; GREENWOOD; IN; 46142; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 10/13/2006; 160; 160; SALES OF FIXED INSURANCE PRODUCTS 2) NAME OF ENTITY: Promise Advisory Group; Yes; 622 N Madison Ave., Suite 10; GREENWOOD; IN; 46142; Financial Services/dba; representative; 3/1/2007; 160; 160; Sale and service of securities, investments, and variable and fixed insurance products 3) NAME OF OTHER BUSINESS: FRANKLIN CHAMBER OF COMMERCE; INVESTMENT RELATED: NO; ADDRESS: 120 EAST JEFFERSON STREET FRANKLIN, IN 46131; NATURE OF BUSINESS: NON PROFIT; START DATE: 01/2024; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: PARTICIPATE IN LEADERSHIP, GUIDANCE FOR THE CHAMBER; 4) NAME OF OTHER BUSINESS: FRANKLIN HERITAGE, INC.; INVESTMENT RELATED: NO; ADDRESS: 57 N MAIN ST, FRANKLIN, IN 46131; NATURE OF BUSINESS: BOARD; START DATE: 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 MEETINGS AS PART OF A BOARD; 5) NAME OF OTHER BUSINESS: POA FOR FAMILY FRIEND; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: POA FOR FAMILY FRIEND; START DATE: 4/2026; POSITION/TITLE/RELATIONSHIP: POA FOR FAMILY FRIEND; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: POA FOR FAMILY FRIEND;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-02-05 |
| S63 | Uniform Securities Agent State Law Examination | 2005-02-14 |
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