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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 | 2023-01-12 |
| TN | RA | APPROVED | 2019-02-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ftb Advisors, Inc. | Johnson City | TN | 07/2010 | 02/2017 |
| City Of Johnson City | Johnson City | TN | 12/2016 | 12/2018 |
| Widener Insurance Agency, Inc | Johnson City | TN | 08/2017 | 02/2019 |
| Regions Bank | Kingsport | TN | 02/2019 | Present |
| Cetera Investment Services Llc | Saint Cloud | MN | 02/2019 | Present |
| Cetera Investment Advisers Llc | Kingsport | TN | 02/2019 | Present |
1. TENNESSEE ALCOHOLIC BEVERAGE COMMISSIONER- MEET WITH BOARD TO DISCUSS AND ENFORCE STATE ALCOHOL SALE POLICIES. <1HR WK, NO SECURITIES CLIENT OR ACTIVITIES. 2. WASHINGTON COUNTY COMMISSIONER, 5 HRS/WK. 3. TR-CITIES AIRPORT AUTHORITY, 1/HR/WK.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-01-30 |
| S63 | Uniform Securities Agent State Law Examination | 2005-03-26 |
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