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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| LA | RA | APPROVED | 2024-03-21 |
| TX | RA | APPROVED | 2024-03-21 |
Branch Locations
15015 Jamestown Blvd Suite 100, Baton Rouge, LA 70810 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bluffs Golf Course And Resort | Saint Francisville | LA | 05/2018 | 07/2018 |
| Southeastern Louisiana University Physical Plant | Hammond | LA | 12/2019 | 02/2020 |
| Unemployed | Saint Francisville | LA | 01/2012 | 04/2018 |
| Northwestern State University | Natchitoches | LA | 08/2018 | 11/2019 |
| Southeastern Louisiana University | Hammond | LA | 03/2020 | 05/2021 |
| Horizon Financial Group | Baton Rouge | LA | 01/2022 | Present |
| Unemployed | Saint Francisville | LA | 05/2021 | 08/2021 |
| Cetera Advisors | St Cloud | MN | 08/2021 | 02/2022 |
| Cetera Advisors Llc | St Cloud | MN | 02/2022 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | Present |
1. NAME OF OTHER BUSINESS: HORIZON FINANCIAL GROUP, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 01/2022, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 30, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2. NAME OF OTHER BUSINESS: BIG LEAGUE MONEY; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: BOOK; START DATE: 06/2024; POSITION/TITLE/RELATIONSHIP: CO-AUTHOR; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: BOOK AUTHORSHIP WITH BOOKS GEARED TOWARDS THE STAGES OF A MLB CAREER; 3. NAME OF OTHER BUSINESS: NEXTWAVE NETWORK; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: BUSINESS NETWORKING START DATE: 7/2025; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: BUSINESS NETWORKING; 4. NAME OF OTHER BUSINESS: FPA INVESTMENT RELATED: NO ADDRESS: 1290 N BROADWAY SUITE 1625 DENVER CO 80203 NATURE OF BUSINESS: BOARD START DATE: 2/1/2026 POSITION/TITLE/RELATIONSHIP: BOARD MEMBER-AT-LARGE APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: COORDINATE ACTIVITIES AND EVENTS
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-06-08 |
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