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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-11-23 |
| KY | RA | APPROVED | 2025-09-05 |
Branch Locations
1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James Financial Services, Inc | Lexington | KY | 10/2018 | 09/2020 |
| Raymond James Financial Services Advisors Inc. | Lexington | KY | 10/2018 | 09/2020 |
| Watson Family Office Limited Liability Company | Lexington | KY | 04/2018 | 12/2022 |
| Bb&T Investment Services, Inc. | Lexington | KY | 02/2010 | 01/2018 |
| Bb&T Securities, Llc | Lexington | KY | 01/2018 | 09/2018 |
| Woodford Financial Pllc | Versailles | KY | 01/2020 | Present |
| Wealthsouth | Lexington | KY | 09/2018 | 08/2024 |
| Avantax Advisory Services | Versailles | KY | 09/2024 | 09/2025 |
| Woodford Financial Pllc | Versailles | KY | 01/2020 | Present |
| Avantax Investment Services, Inc. | Versailles | KY | 11/2024 | 09/2025 |
| Cetera Wealth Services, Llc | El Segundo | CA | 09/2025 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 09/2025 | Present |
1) WOODFORD FINANCIAL PLLC POSITION: Member NATURE: Woodford Financial understands the breadth of knowledge and level of attention required to manage the financial issues your business will experience. As a trusted Versailles, KY CPA firm, we provide a wide range of customized, accurate accounting services. From day-to-day bookkeeping to making informed decisions about hiring more employees or investing in a big purchase, we're ready to partner with you to help ensure your success. In addition, we can assist you with strategic tax planning to limit tax liabilities while garnering the highest profits possible for your business. Avantaxinvestment services will be offered in conjunction with other professional services by Woodford Financial PLLC. INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 130 START DATE: 01/27/2020 ADDRESS: 100 United Drive, Suite 3B, Versailles, KY 40383, United States DESCRIPTION: I am one of two managing partners/owners of the firm and am responsible for (1) day-to-day management of the firm, (2) tax planning for clients, (3) tax preparation for clients, (4) financial planning for clients, and (5) client relationship management. I will also be marketing Avantax business under this entity. 2) NAME OF OTHER BUSINESS: HARTLAND EXECUTIVE HOMEOWNERS ASSOCIATION INVESTMENT RELATED: NO ADDRESS: 4910 HARTLAND PARKWAY LEXINGTON KY 40515 NATURE OF BUSINESS: BOARD START DATE: 7/1/2026 POSITION/TITLE/RELATIONSHIP: TREASURER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: KEEP FINANCIALS CURRENT, ATTEND BOARD MEETINGS 3) NAME OF OTHER BUSINESS: ROTARY CLUB OF WOODFORD COUNTY ; INVESTMENT RELATED: NO ADDRESS: 100 UNITED DR STE 3B, VERSAILLES, KY 40383 ; NATURE OF BUSINESS: NON-PROFIT ; START DATE: 7/1/2025 ; POSITION/TITLE/RELATIONSHIP: TREASURER ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: OVERSEE LOCAL CHAPTER OF ROTARY INTERNATIONAL & ORGANIZE MEETINGS ;
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2025-08-28 |
| S65 | Uniform Investment Adviser Law Examination | 2023-07-26 |
| S66 | Uniform Combined State Law Examination | 2008-12-09 |
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