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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2022-04-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bmo Harris Bank | Roseville | MN | 01/2020 | 03/2021 |
| Guitar Center Stores, Inc. | Westlake Village | CA | 02/2012 | 01/2020 |
| Bmo Harris Financial Advisors | Roseville | MN | 01/2020 | 03/2021 |
| Lpl Financial Llc | Minneapolis | MN | 03/2021 | 10/2021 |
| Cetera Investment Services Llc | Saint Cloud | MN | 01/2022 | Present |
| Cetera Investment Advisers Llc | Bardstown | KY | 04/2022 | Present |
| Abound Credit Union | Bardstown | KY | 12/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-04-15 |
| S63 | Uniform Securities Agent State Law Examination | 2020-06-30 |
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