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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2025-01-13 |
| TX | RA | APPROVED_RES | 2025-01-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Voya Investments Distributor, Llc | Windsor | CT | 05/2014 | 09/2019 |
| Voya Investment Management | Scottsdale | AZ | 05/2014 | 01/2019 |
| Voya Investment Management Co. Llc | New York | NY | 05/2014 | 09/2019 |
| Voya Investment Management | Atlanta | GA | 01/2019 | 09/2019 |
| Bank Of The West | Tempe | AZ | 10/2019 | 07/2023 |
| Bancwest Investment Services, Inc. | Tempe | AZ | 10/2019 | 07/2023 |
| Lpl Financial Llc | Tempe | AZ | 07/2023 | 08/2023 |
| Securities America, Inc. | Tempe | AZ | 11/2023 | 06/2024 |
| Pfg Advisors | Tempe | AZ | 11/2023 | 12/2024 |
| Osaic Wealth, Inc. | Tempe | AZ | 06/2024 | 12/2024 |
| Cetera Investment Services Llc | Saint Cloud | MN | 01/2025 | Present |
| Cetera Investment Advisers Llc | Renton | WA | 01/2025 | Present |
1.) CHAPTER BOARD MEMBER AT CAIA ASSOCIATION; PARTICIPATE IN COMMITTEE MEETINGS, ORGANIZE AND LEAD EVENTS, SECURING SPEAKERS/SPONSORS REPRESENTING THE CHAPTER AT EVENTS; RECRUITING VOLUNTTERS AND FUTURE LEADERS; 1 HR/WK.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-08-20 |
| S63 | Uniform Securities Agent State Law Examination | 1998-07-31 |
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