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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2025-04-07 |
Branch Locations
100 Pearl St 3Rd Fl West Tower, Hartford, CT 06103 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Yale University | New Haven | CT | 05/2016 | 12/2018 |
| Sacred Heart University | Fairfield | CT | 09/2015 | 05/2019 |
| Discovery Museum | Bridgeport | CT | 04/2017 | 03/2020 |
| Sacred Heart University | Fairfield | CT | 03/2018 | 05/2019 |
| Callahan Family | Trumbull | CT | 09/2018 | 06/2019 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 09/2019 | 06/2021 |
| Northwestern Mutual Investment Services Llc | Fairfield | CT | 11/2020 | 06/2021 |
| Cetera Advisor Networks Llc | El Segundo | CA | 07/2024 | 10/2024 |
| Cetera Wealth Services, Llc | El Segundo | CA | 10/2024 | Present |
| C.M. Smith Financial | Hartford | CT | 06/2024 | 04/2026 |
| Unemployed | Hartford | CT | 06/2021 | 06/2024 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 04/2025 | Present |
| Aleragroup | Hartford | CT | 03/2026 | Present |
1. NAME OF OTHER BUSINESS: FIXED INSURANCE; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE START DATE: 06/2024; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; POSITION/TITLE/RELATIONSHIP: AGENT; BRIEF DESCRIPTION OF DUTIES: INSURANCE SALES AND SERVICE; 2. NAME OF OTHER BUSINESS: ALERA GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 03/2026; 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;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-04-04 |
| S63 | Uniform Securities Agent State Law Examination | 2024-11-27 |
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