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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2023-06-29 |
| TX | RA | APPROVED_RES | 2023-06-29 |
Branch Locations
6010 Brownsboro Pk Blvd Ste A, Louisville, KY 40205 • United States
Louisville, KY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Louisville | KY | 04/2014 | 10/2017 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 10/2017 |
| Voya Financial Advisors, Inc. | Louisville | KY | 11/2017 | 06/2021 |
| Cetera Wealth Services, Llc | El Segundo | CA | 06/2021 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
NAME OF ENTITY:IDEAS ABYSS LLC; No; 1208 S 2ND ST; LOU; KY; 40203; RENTAL PROPERTY; PARTNER; 2/6/2018; 5; 0; OVERSEE THE MANAGEMENT COMPANY|NAME OF ENTITY:SMITH & SMITH, LTD; Yes; 6010 BROWNSBORO PK BLVD STE A; LOUISVILLE; KY; 40205; FINANCIAL SERVICES/DBA; FINANCIAL ADVISORS; 11/14/2017; 160; 160; SALE AND SERVICE INSURANCE,SECURITIES AND INVESTMENT PRODUCTS.|NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 6010 BROWNSBORO PK BLVD STE A; SCOTTSDALE; AZ; 85254; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 3/10/2008; 160; 160; SALE OF FIXED INSURANCE PRODUCTS.|
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-06-30 |
| S63 | Uniform Securities Agent State Law Examination | 2011-01-10 |
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