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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2026-08-25 |
Branch Locations
2 Stony Hill Road Suite 208, Bethel, CT 06801 • United States
Wappingers Falls, NY • United States
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 |
|---|---|---|---|---|
| Wells Fargo Bank, Na | Kingston | NY | 09/2015 | 10/2021 |
| Wells Fargo Clearing Services, Llc | Kingston | NY | 10/2015 | 10/2021 |
| Mml Investors Services, Llc | Hamden | CT | 01/2022 | 08/2026 |
| Mass Mutual Insurance Company | Hamden | CT | 01/2022 | 08/2026 |
| Jp Morgan Chase Bank | Peekskill | NY | 10/2021 | 12/2021 |
| Financial Guide Solutions, Llc | Bethel | CT | 01/2022 | Present |
| Cetera Wealth Services, Llc | El Segundo | CA | 08/2026 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 08/2026 | Present |
1. NAME OF OTHER BUSINESS: FINANCIAL GUIDE SOLUTIONS, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: WEALTH MANAGEMENT; START DATE: 01/2022; POSITION/TITLE/RELATIONSHIP: FINANCIAL PLANNING DIRECTOR APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: DIRECTOR OF FINANCIAL PLANNING, WORKING WITH PROSPECTS AND CLIENTS, BUILDING FINANCIAL PLANS. DISCUSSING INVESTMENT, INSURANCE, TAX, CASH FLOW AND ESTATE STRATEGIES;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-12-08 |
| S63 | Uniform Securities Agent State Law Examination | 2008-05-16 |
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