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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-02-03 |
| TX | RA | APPROVED_RES | 2025-02-03 |
Branch Locations
19 British American Blvd East, Latham, NY 12110 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Key Investment Services Llc | Albany | NY | 10/2015 | 07/2016 |
| Keybank | Cohoes | NY | 10/2015 | 11/2023 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 03/2024 | 11/2024 |
| Cetera Investment Services Llc | Saint Cloud | MN | 02/2025 | Present |
| Cetera Investment Advisers Llc | Albany | NY | 02/2025 | Present |
| Northwestern Mutual Investment Services Llc | Albany | NY | 11/2023 | 11/2024 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 11/2023 | 11/2024 |
1. OWNER OF RENTAL PROPERTIES 2. IRON TREE FINANCIAL, DBA FOR CETERA BUSINESS
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-01-12 |
| S63 | Uniform Securities Agent State Law Examination | 2016-06-02 |
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