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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-08-10 |
| VA | RA | APPROVED | 2023-08-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Securian Financial Services Inc. | St. Paul | MN | 08/2015 | 08/2023 |
| Minnesota Life | St. Paul | MN | 08/2015 | 08/2023 |
| Virginia Asset Management | Midlothian | VA | 08/2015 | Present |
| Cetera Wealth Services, Llc | Fairfax | VA | 08/2023 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 08/2023 | Present |
1) NAME OF OTHER BUSINESS: CHRISTOPHER ELLIS; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: GUEST SPACE RENTAL; START DATE: 09/2023; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: RENTING OUT GUEST SPACE IN RESIDENCE ON AIRBNB; 2) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 10/2015; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 10; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 3) NAME OF OTHER BUSINESS: IRONGATE CAPITAL ADVISORS; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 1/2021;, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES AND SALE & SERVICE OF FIXED INSURANCE PRODUCTS; 4) NAME OF OTHER BUSINESS: CRE CAPITAL MANAGEMENT, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: ENTITY FOR TAX PURPOSES; START DATE: 04/2024; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: ENTITY FOR FEES AND TAX PURPOSES; 5) NAME OF OTHER BUSINESS: N/A; INVESTMENT RELATED: NO; ADDRESS: 64 SKYLINE RD, KITTY HAWK, NC 27949; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 1/2026; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: OWNER OF OUR SECOND PROPERTY - RENTING THROUGH RESORT REALTY; 6) NAME OF OTHER BUSINESS: VIRGINIA ASSET MANAGEMENT INVESTMENT RELATED: N ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: HEALTH INSURANCE START DATE: 10/2024 POSITION/TITLE/RELATIONSHIP: INDEPENDENT CONTRACTOR APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: INTRODUCE BUSINESS TO THE HEALTH INSURANCE DEPARTMENT OF VAM
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-09-22 |
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