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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| DE | RA | APPROVED | 2023-08-10 |
| TX | RA | APPROVED | 2023-08-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Minnesota Life Insurance Co | Usa | MN | 11/2011 | 08/2023 |
| Diamond State Financial Group | Newark | DE | 10/2011 | Present |
| Securian Financial Services Inc | St Paul | MN | 11/2011 | 08/2023 |
| Cetera Wealth Services, Llc | Newark | DE | 08/2023 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 08/2023 | Present |
1. AUTHOR POSITION: Independent Contractor NATURE: Author INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2018 ADDRESS: , Wilmington DE , United States DESCRIPTION: Independent Contractor 2. DSFG FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 07/14/2016 ADDRESS: , Newark DE , United States DESCRIPTION: Agent/Broker 3. DSFG REAL ESTATE HOLDINGS, LLC POSITION: Member NATURE: commercial real estate INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/15/2022 ADDRESS: 419 harrison drive, hockessin DE 19707, United States DESCRIPTION: ownership stakein new building that DSFG is purchasing 4. NDREW BAKER - TRADING CARD SALES POSITION: Owner NATURE: selling sports trading cards on ebay INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2020 ADDRESS: 2381 Dombey Rd, Wilmington DE 19808, United States DESCRIPTION: I buy and sell sports trading cards on eBay. 5. NAME OF OTHER BUSINESS: DIAMOND STATE FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: INSURANCE, SECURITIES AND ADVISORY SERVICES; START DATE: 08/2023; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: SECURITIES AND ADVISORY SERVICES; 6. NAME OF OTHER BUSINESS: LIL' BABY, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: HOLDING COMPANY; START DATE: 10/2025; POSITION/TITLE/RELATIONSHIP: MEMBER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: HOLDING COMPANY FOR PERSONAL INVESTMENT;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-01-26 |
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