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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 | 2025-09-05 |
Branch Locations
1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lumsden & Mccormick Llp | Buffalo | NY | 02/2013 | Present |
| 1St Global Capital, Corp | Buffalo | NY | 09/2018 | 10/2019 |
| 1St Global Advisors, Inc | Buffalo | NY | 09/2018 | 10/2019 |
| Avantax Investment Services, Inc. | Buffalo | NY | 11/2020 | Present |
| Lumsden & Mccormick Llp | Buffalo | NY | 02/2013 | Present |
| Avantax Advisory Services | Buffalo | NY | 11/2020 | Present |
| Cetera Wealth Services, Llc | Buffalo | NY | 09/2025 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 09/2025 | Present |
1) LUMSDEN & MCCORMICK FINANCIAL SERVICES, LLC POSITION: Referring Advisor NATURE: Referring Advisor Capacity INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 12/01/2020 ADDRESS: 369 Franklin St., Buffalo NY 14202, DESCRIPTION: Referring Advisor Capacity 2) LUMSDEN & MCCORMICK LLP POSITION: Tax Manager NATURE: I provide tax consulting and compliance services to our clients. INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 02/01/2013 ADDRESS: 369 Franklin St., Buffalo NY 14202, DESCRIPTION: see above
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-11-23 |
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