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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2023-06-29 |
Branch Locations
14R Church Green, Taunton, MA 02780 • United States
700 Pleasant Street Suite 300, New Bedford, MA 02740 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sylvia & Company | Dartmouth | MA | 03/2009 | 07/2019 |
| Voya Financial Advisors | Dartmouth | MA | 09/2014 | 07/2019 |
| St. James St. John School | New Bedford | MA | 08/2019 | Present |
| Voya Financial Advisors | Dartmouth | MA | 05/2021 | 06/2021 |
| Cetera Wealth Services, Llc | El Segundo | CA | 06/2021 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
Name of Entity: St. James St. John School; No; 180 Orchard Street, New Bedford, MA 02740; Secretary; 8/1/2019; 96; 96; Secretarial Duties; NAME OF ENTITY:Sylvia Financial; Yes; 500 FAUNCE CORNER RD; DARTMOUTH; PA; 02747; Administrative Asst; Administrative Asst; 3/1/2010; 160; 160; Administrative Asst|NAME OF ENTITY:TAUNTON FEDERAL CREDIT UNION (TFCU); Yes; 14 CHURCH GREEN; TAUNTON; MA; 02780; FINANCIAL SERVICES; CLIENT MANAGER; 6/15/2016; 60; 60; ADMINISTRATIVE TASKS AND CLIENT SERVICE|NAME OF ENTITY:CHURCH GREEN FINANCIAL SERVICES; Yes; 14 CHURCH GREEN; TAUNTON; MA; 02780; FINANCIAL SERVICES/DBA; CLIENT MANAGER; 6/21/2016; 60; 60; ADMINISTRATIVE TASKS AND CLIENT SUPPORT|NAME OF ENTITY:WOMEN'S FUND; No; 30 CORNELL ST; NEW BEDFORD; MA; 2740; NON-PROFIT ORGANIZATION; MEMBER; 10/1/2017; 4; 2; ASSIST WITH ORGANIZING ANNUAL EVENTS,LEADERSHIP BREAKFAST,COMEDY NIGHT AND LIFEWORKS GRADUATION.|
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-01-19 |
| S63 | Uniform Securities Agent State Law Examination | 2006-08-21 |
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