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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2017-09-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Axa Advisors, Llc | New York | NY | 07/2015 | 08/2017 |
| First National Bank & Trust | Beloit | WI | 09/2017 | 09/2025 |
| Cetera Investment Services Llc | St.CLoud | MN | 09/2017 | Present |
| Cetera Investment Advisers Llc | Whitewater | WI | 09/2017 | Present |
| First Citizens State Bank | Whitewater | WI | 09/2025 | Present |
1. TRUST OFFICER FOR FIRST CITIZENS STATE BANK, SERVING AS RELATIONSHIP MANAGER, NON VOTING MEMBER OF INVESTMENT COMMITTEE FOR TRUST GROUP, WILL NOT BE MAKING INVESTEMENT DECISIONS, RECOMMENDING SPECIFIC SECURITIES OR EXECUTING TRANSACTIONS IN BANK ROLE; 2. CO-OWNER OF PROMENADE ENTERPRISES, LLC, LANDLORD, RESIDENTIAL REAL ESTATE;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-08-01 |
| S63 | Uniform Securities Agent State Law Examination | 2015-08-03 |
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