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9000 Keystone Crossing Suite 400, Indianapolis, IN 46240 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2024-10-30 |
Branch Locations
9000 Keystone Crossing Suite 400, Indianapolis, IN 46240 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Guardian Life Insurance Company Of America | New York | NY | 12/2016 | 05/2017 |
| Park Avenue Securities, Llc | New York | NY | 12/2016 | 05/2017 |
| Unemployed | Indianapolis | IN | 07/2016 | 12/2016 |
| Guardian Life Insurance | Indianapolis | IN | 06/2017 | 08/2023 |
| Park Avenue Securities | Indianapolis | IN | 12/2016 | 08/2023 |
| Wellington Wealth Strategies, Llc | Indianapolis | IN | 08/2023 | 10/2024 |
| Purshe Kaplan Sterling Investments | Albany | NY | 08/2023 | Present |
| The Wellington Grp Llc | Indianapolis | IN | 10/2024 | Present |
1) The Wellington Group. Investment Related. 9000 Keystone Crossing, Suite 400, Indianapolis, IN 46240, Wealth Management, Chief Operating Officer, 09/01/2023, 160 hours, 160 hours, Manage growth and operations of the business. 2) Fixed Insurance, Not investment-related, 9000 Keystone Crossing, Suite 400, Indianapolis, IN 46240, Insurance and Risk Management, Advisor, 09/01/2023, 4 hours, 4 hours, Take clients through our planning process. 3) Wellington Group Ventures, LLC. Investment-related. At registered location. Holding Company. Owner. 06/2025. 1 hr/month. 1 hr during trading hrs. This is a holding company that will receive some revenue if private business deals liquidate. I have nothing to do with the private deals and don't solicit or discuss with clients. I am a 1% minority owner.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-03-14 |
| S63 | Uniform Securities Agent State Law Examination | 2000-07-05 |
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