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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2023-06-29 |
Branch Locations
10503 Timberwood Circle Suite 205, Louisville, KY 40223 • United States
Louisville, KY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mass Mutual Life Insurance Company | Louisville | KY | 11/2014 | Present |
| Mml Investors Services | Louisville | KY | 03/2015 | 02/2018 |
| Yates Retirement Services | Louisville | KY | 02/2013 | Present |
| Cetera Wealth Services, Llc | El Segundo | CA | 02/2018 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | 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: 1/2018 APX NUMBER OF HOURS PER WEEK: 8 APX NUMBER OF HOURS DURING TRADING HOURS: 8 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, AND LONG TERM CARE; 2. NAME OF OTHER BUSINESS: COMMONWEALTH CAPITAL MANAGEMENT LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES; START DATE: 02/2018; POSITION/TITLE/RELATIONSHIP: ADVISORY REPRESENTATIVE; APX NUMBER OF HOURS PER WEEK: NONE; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-08-14 |
| S63 | Uniform Securities Agent State Law Examination | 2015-05-11 |
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