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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2025-07-25 |
| TX | RA | APPROVED | 2025-07-25 |
Branch Locations
5200 77 Center Drive Suite 210, Charlotte, NC 28217 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| New York Life Insurance Company | Charlotte | NC | 12/2010 | 03/2020 |
| Nylife Securities Llc | Charlotte | NC | 08/2014 | 03/2020 |
| Massmutual Life Insurance Co | Charlotte | NC | 02/2020 | 07/2025 |
| Mml Investors Services, Llc | Charlotte | NC | 03/2020 | 07/2025 |
| Cetera Investment Services Llc | Saint Cloud | MN | 07/2025 | Present |
| Cetera Investment Advisers Llc | Charlotte | NC | 07/2025 | Present |
1.) J&G LEGACY FINANCIAL GROUP LLC, DBA FOR CETERA BUSINESS, 50% OWNER.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-04-16 |
| S63 | Uniform Securities Agent State Law Examination | 2014-10-13 |
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