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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-01-29 |
Branch Locations
80 Business Park Drive Suite 207, Armonk, NY 10504 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Curtis Instruments Inc | Mount Kisco | NY | 12/2016 | 05/2018 |
| Gartner Inc | Stamford | CT | 10/2015 | 12/2016 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 08/2018 | 11/2018 |
| Northwestern Mutual Investment Services Llc | Stamford | CT | 08/2018 | 11/2018 |
| Unemployed | Stamford | CT | 12/2018 | 01/2019 |
| National Life Group | Armonk | NY | 01/2019 | 11/2024 |
| Equity Service, Inc | Montpelier | VT | 01/2019 | 11/2024 |
| Cetera Wealth Services, Llc | El Segundo | CA | 01/2025 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 01/2025 | Present |
| Corporate Plans Retirement Strategies | White Plains | NY | 04/2022 | Present |
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 10/2013; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 4; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 2. NAME OF OTHER BUSINESS: CORPORATE PLANS RETIREMENT STRATEGIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 04/2022; POSITION/TITLE/RELATIONSHIP: ASSOCIATE; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 7; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES; 3. NAME OF OTHER BUSINESS: N/A; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX PREP; START DATE: 1/2026; POSITION/TITLE/RELATIONSHIP: TAX PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: OFFER TAX PREPARATION SERVICES TO MY CLOSE FRIENDS AND FAMILY;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-09-07 |
| S63 | Uniform Securities Agent State Law Examination | 2019-08-10 |
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