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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 |
| TX | RA | APPROVED | 2026-08-25 |
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 |
|---|---|---|---|---|
| Massmutual Life Insurance Company | Norwalk | CT | 10/2010 | 08/2026 |
| Mml Investors Services, Llc | Norwalk | CT | 10/2010 | 08/2026 |
| Financial Guide Solutions Llc | Norwalk | 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: DBA FOR FINANCIAL SERVICES START DATE: 01/2022 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL - MANAGING MEMBER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: OPERATIONS MANAGEMENT FOR SECURITIES, ADVISORY AND INSURANCE SERVICES; 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 06/2014 APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 5 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS 3. NAME OF OTHER BUSINESS: AQUA VISTA HOMEOWNERS ASSOCIATION INVESTMENT RELATED: NO ADDRESS: DANBURY, CT 06810 NATURE OF BUSINESS: BOARD OR COMMITTEE POSITIONS START DATE: 12/2023 POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: ASSUME PRESIDENT ROLE IF HE/SHE CANNOT COMPLETE HIS OR HER TERM. OVERSEE COMMUNICATIONS, MEMBERSHIP LISTS AND COMPLAINT MANAGEMENT;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-01-29 |
| S63 | Uniform Securities Agent State Law Examination | 2008-06-16 |
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