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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2026-03-02 |
Branch Locations
211 North Pennsylvania St 1St Floor, Indianapolis, IN 46204 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Pennington | NJ | 04/2016 | 09/2022 |
| Empower Financial Services, Inc | Greenwood Village | CO | 05/2024 | 03/2025 |
| Empower Advisory Group, Llc | Greenwood Village | CO | 05/2024 | 03/2025 |
| 3 Cost 4 | Maryville | TN | 10/2022 | 04/2024 |
| Cetera Investment Services Llc | Saint Cloud | MN | 02/2026 | Present |
| Cetera Investment Advisers Llc | Indianapolis | IN | 02/2026 | Present |
| Regions Bank | Indianapolis | IN | 02/2026 | Present |
| Unknown | Greenwood | IN | 04/2025 | 01/2026 |
1. TRUST ADMINISTRATOR AT REGIONS BANK; MANAGING AND OVERSEEING TRUST ACCOUNTS TO ENSURE THEY COMPLY WITH ALL LEGAL, FIDUCIARY, AND REGULATORY REQUIREMENTS; OVERSEE THE TRUST'S ASSETS INCLUDING FINANCIAL INVESTMENTS, REAL ESTATE, AND OTHER PROPERTY; MONITOR INVESTMENT PORTFOLIOS TO CONFIRM THEY REMAIN ALIGNED WITH TRUST'S INVESTMENT OBJECTIVES.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-07-22 |
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