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9140 W Dodge Road Suite 230, Omaha, NE 68114 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2020-03-12 |
| TX | RA | APPROVED | 2020-03-09 |
Branch Locations
306 N. Mulberry St., Elizabethtown, KY 42701 • United States
9140 W Dodge Road Suite 230, Omaha, NE 68114 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James Financial Services | Elizabethtown | KY | 03/2015 | 03/2020 |
| Rc Giltner Services, Inc. | Elizabethtown | KY | 01/2015 | Present |
| Raymond James Financial Services Advisors Inc. | Elizabethtown | KY | 05/2015 | 03/2020 |
| Mainsource Bank | Elizabethtown | KY | 02/2017 | 05/2018 |
| First Financial Wealth Management | Elizabethtown | KY | 04/2018 | 03/2020 |
| Kentucky Heartland Asset Management | Elizabethtown | KY | 05/2019 | Present |
| Mutual Securities, Inc. | Camarillo | CA | 03/2020 | 06/2020 |
| Mutual Advisors, Llc. | Omaha | NE | 03/2020 | Present |
1. Kentucky Heartland Asset Management, LLC., Start Date: 04/19/2019, 306 N. Mulberry Street, Single Member LLC, Office building where I do business in Suite 100, Leasing Suite 200 to a tenant, Owner, This is a single member LLC holds the office building property where my business operates in Suite 100, Lease out Suite 200, The Tenant space is separate with a separate entrance, Not an Sec Firm or Indv or FINRA Registered, 1 Hour per month, 0 Hours per day during trading hours. 2. ResultPoint Financial, Inc., Start Date: 2/26/2020, 306 N. Mulberry St., Corporation with the S-Corp Election, Pass through entity, Chief Executive Officer and Owner, Chief Executive Officer managing, filing, and reporting for S-Corp, Investment Related, 200 Hours per month, 7.5 Hours per day during trading hours. 3. Board of Directors Lincoln Train Council - Boy Scouts of America, Start Date: 2012, 12001 Sycamore Station Pl, Louisville, KY 40299, Non-Profit Agency 501(c)2, Board of Directors, Board Treasurer and Board Member, CASA of the Heartland is a non-profit serving children whose parents are in the court system, Serve on the board of directors reviewing the operations and finances, Not Investment Related, 4 Hours per month, 2 Hours per day during trading hours. 4. St. James Church Finance Committee Chair, Start Date: 2005, 307 West Dixie Ave., Elizabethtown, KY 42701, Non-Profit Church, Finance council member and chair, This is our church, Serve on the finance committee reviewing the church operations and finances, Not Investment Related, 4 Hours per month, 2 Hours per day during trading hours. 5. Independent Insurance Agent, Start Date 2020, Insurance Sales & Services, Not Investment Related, 5-10 hours per month, <1 hour per day during trading hours. 6. Insurance Agent - ResultPoint Financial, Inc., Start Date: 02/26/2020, 306 N. Mulberry St., Corporation with the S-Corp Election, Insurance, Chief Executive Officer and Owner, Chief Executive Officer, Managing, Filing, and reporting for S-Corp, Investment Related, 10 Hours per month, .25 Hours per day during trading hours6
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-04-20 |
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