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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| DE | RA | APPROVED | 2023-08-10 |
| TX | RA | APPROVED_RES | 2023-08-10 |
Branch Locations
1 disclosure category 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 |
|---|---|---|---|---|
| Minnesota Life | St. Paul | MN | 01/2000 | 08/2023 |
| Securian Financial Services | St. Paul | MN | 01/2000 | 08/2023 |
| Diamond State Financial Group Inc | Newark | DE | 01/2000 | Present |
| Cetera Wealth Services, Llc | Newark | DE | 08/2023 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 08/2023 | Present |
| Dsfg Tax & Advisory | Newark | DE | 09/2025 | Present |
1) BOOK AUTHOR POSITION: Owner NATURE: Author INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 07/01/2012 ADDRESS: , Hockessin DE , United States DESCRIPTION: Owner 2) DSFG FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 07/14/2016 ADDRESS: , Newark DE , United States DESCRIPTION: Agent/Broker 3) 2B BY THE SEA LLC POSITION: Member NATURE: Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2020 ADDRESS: 419 Harrison Dr, Hockessin DE 19707, United States DESCRIPTION: currently own a property with Keith Baker that we disclosed and bought in March of 2019. We are moving to LLC for liability protection since we are renting it. 4) 707 RENTAL PROPERTY LLC POSITION: Partner NATURE: Rental Property INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2014 ADDRESS: 419 Harrison Drive, Hockessin DE 19707, United States DESCRIPTION: Rental Properties 5) THE 808 PROPERTIES LLC POSITION: Member NATURE: Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2020 ADDRESS: 419 Harrison Dr, Hockessin DE 19707, United States DESCRIPTION: 2 rental properties are being moved from the 707 to the 808 for liability purposes. 6) DSFG REAL ESTATE HOLDINGS, LLC POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/15/2022 ADDRESS: 419 Harrison Drive, Hockessin DE 19707, United States DESCRIPTION: building that dsfg will be a tenant of. 7) NAME OF OTHER BUSINESS: DSFG CARES, INC; INVESTMENT RELATED: NO; ADDRESS: 900 PRIDES CROSSING; NEWARK, DE 19713 NATURE OF BUSINESS: NON PROFIT; START DATE: 06/2023; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: HELP DETERMINE WHICH LOCAL CHARITY IS GOING TO RECEIVE DONATION FOR THE YEAR; 8) NAME OF OTHER BUSINESS: DIAMOND STATE FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: INSURANCE, SECURITIES AND ADVISORY SERVICES; START DATE: 08/2023; 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: SECURITIES AND ADVISORY SERVICES; 9) NAME OF OTHER BUSINESS: DSFG TAX & ADVISORY; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX & ACCOUNTING; START DATE: 9/2025; POSITION/TITLE/RELATIONSHIP: PRESIDENT/OWNER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: PREPARE TAX RETURNS FOR CLIENTS;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-10-26 |
| S63 | Uniform Securities Agent State Law Examination | 2000-03-24 |
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