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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2024-11-21 |
| NJ | RA | APPROVED | 2024-02-16 |
| SC | RA | APPROVED | 2024-02-15 |
| TX | RA | APPROVED | 2024-02-15 |
Branch Locations
9776 Kings Road Suite B, Myrtle Beach, SC 29572 • United States
Madison, NJ • United States
236 Laurel Lane, Greentown, PA 18426 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Kestra Financial Services, Inc. | Austin | TX | 04/2016 | 01/2019 |
| Lpl Financial Llc | Florham Park | NJ | 01/2019 | 02/2024 |
| Cetera Wealth Services, Llc | El Segundo | CA | 02/2024 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 02/2024 | Present |
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 07/2011 APX NUMBER OF HOURS PER WEEK: 3 APX NUMBER OF HOURS DURING TRADING HOURS: 3 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS FIXED LIFE 2. NAME OF OTHER BUSINESS: MADSION COMMON HOMEOWNER'S ASSOCIATION INVESTMENT RELATED: NO ADDRESS: 1 CLUB CT MADISON NJ 07940 NATURE OF BUSINESS: HOMEOWNERS ASSOCIATION START DATE: 03/2016 POSITION/TITLE/RELATIONSHIP: PRESIDENT OF THE BOARD OF TRUSTEES APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 2 BRIEF DESCRIPTION OF DUTIES: OVERSIGHT OVER THE FIVE-PERSON BOARD THAT GOVERNS THE OPERATIONS AND FINANCIALS OF A HOMEOWNER COMMUNITY CONSISTING OF 208 TOWNHOMES 3. NAME OF OTHER BUSINESS: FERNANDO DA VEIGA INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 01/1986 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: .25 APX NUMBER OF HOURS DURING TRADING HOURS: NONE BRIEF DESCRIPTION OF DUTIES: LANDLORD DUTIES 4. NAME OF OTHER BUSINESS: REGAL WEALTH ADVISORS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 07/2011 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: FINANCIAL ADVISOR - PLANNING, INVESTMENTS, AND INSURANCE
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-10-21 |
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