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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2025-09-05 |
Branch Locations
1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
210 Jones St Ste. 104, Dubuque, IA 52001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2025-05-06 |
Branch Locations
Evansville, IN • United States
210 Jones St Ste. 104, Dubuque, IA 52001 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hilliard Lyons | Evansville | IN | 05/2011 | 06/2018 |
| J.J.B.HIlliard W L Lyons | Evansville | IN | 09/2017 | 06/2018 |
| Jjb Hilliard Wl Lyons Llc | Louisville | KY | 06/2018 | 10/2019 |
| R W Baird | Evansville | IN | 10/2019 | 02/2020 |
| Facet Wealth | Evansville | IN | 02/2020 | 07/2022 |
| None | Evansville | IN | 08/2022 | 09/2022 |
| Harding Shymanski And Co | Evansville | IN | 09/2022 | 12/2022 |
| Avantax Investment Services, Inc | Evansville | IN | 12/2022 | Present |
| Avantax Advisory Services | Evansville | IN | 12/2022 | Present |
| University Of Evansville | Evansville | IN | 07/2024 | Present |
| Avantax Planning Partners, Inc. | Evansville | IN | 12/2022 | Present |
| Cetera Wealth Services, Llc | El Segundo | CA | 09/2025 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 09/2025 | Present |
1) OPERATION HOMEFRONT AND/OR HOMES FOR OUR TROOPS, NON INVEST-RELATED, 6 MAIN ST., TAUNTON, MA 02780, FPA PRO BONO-FREE NO STRINGS FINANCIAL PLANNING INFORMATION AND EDUCATION TO VETERANS, VOLUNTEER, 9/2013, 10 HRS/MONTH AND 0 HRS/MONTH DURING TRADING HRS, DUTIES INCLUDE WORKING WITH VETERANS ON BASIC BUDGET TECHNIQUES AND FINANCIAL LITERACY SKILLS (ESPECIALLY RELATED TO HELPING VETERANS OBTAIN A HOME ONCE STATESIDE). 2) ARK CRISIS CHILDREN'S CENTER POSITION: Advisor to the board NATURE: Coaching and mentoring new board members in fund raising and public speaking INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2023 ADDRESS: 415 Lincoln Ave, Evansville IN 47714, United States DESCRIPTION: This is an as needed advisor role as new emerging leaders are added to the board. My role is to share my success in public speaking and past success with fund raising 3) CFP BOARD POSITION: Mentor NATURE: Mentor for individuals preparing for the CFP exam INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2023 ADDRESS: 1425 K Street NW., #800, Washington DC 20005, United States DESCRIPTION: Mentor 4) UNIVERSITY OF EVANSVILLE POSITION: DEIB Board Member NATURE: I will be joining the DEIB board at University of Evansville aimed at attracting more female students into Finance and Accounting. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 07/01/2024 ADDRESS: 1800 Lincoln Ave, Evansville IN 47722, United States DESCRIPTION: Activities will include attending board meetings, speaking with current and prospective students about careers in our industry, and promoting financial literacy among the student population.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-07-13 |
| S63 | Uniform Securities Agent State Law Examination | 2000-06-21 |
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