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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 | 2025-03-28 |
| WI | RA | APPROVED | 2024-03-21 |
Branch Locations
675 N Barker Rd, Ste 110, Brookfield, WI 53045 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Equitable Advisors, Llc | New York | NY | 06/2020 | 02/2021 |
| Drake University | Des Moines | ID | 08/2016 | 05/2020 |
| College Pro Painters | Des Moines | IA | 05/2017 | 07/2017 |
| Stonebridge Financial Advisors | Clive | IA | 05/2018 | 05/2019 |
| Tero International | Clive | IA | 05/2019 | 08/2019 |
| Vision Financial Group | Des Moines | IA | 01/2020 | 05/2020 |
| Drake Recreational Services | Des Moines | IA | 08/2017 | 08/2018 |
| First Allied Securities, Inc | San Diego | CA | 03/2021 | 09/2022 |
| Cetera Advisors Llc | Brookfield | WI | 09/2022 | Present |
| Prime Financial Services | Brookfield | WI | 05/2023 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | Present |
1) NAME OF OTHER BUSINESS: PRIME FINANCIAL SERVICES; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 5/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 11/2023; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, FIXED ANNUITIES AND LONG-TERM CARE; 3) NAME OF OTHER BUSINESS: PRIME FINANCIAL SERVICES; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX PREPARATION; START DATE: 02/2021; POSITION/TITLE/RELATIONSHIP: TAX PREPARER; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 20; BRIEF DESCRIPTION OF DUTIES: TAX PREPARATION; 4) NAME OF OTHER BUSINESS: NOTARY PUBLIC COMMISSION; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: NOTARIZING DOCUMENTS ; START DATE: 10/2022; POSITION/TITLE/RELATIONSHIP: NOTARY ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: NOTARIZING DOCUMENTS ; 5) NAME OF OTHER BUSINESS: JUST FORE KIDS FOUNDATION; INVESTMENT RELATED: NO; ADDRESS: 2235 S FOXGLOVE CT, NEW BERLIN, WI 53151; NATURE OF BUSINESS: BOARD; START DATE: 6/2025; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ATTEND BOARD MEETINGS;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-08-17 |
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