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11726 Seven Gables Rd Symmes Township, Cincinnati, OH 45249 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2019-11-12 |
Branch Locations
11726 Seven Gables Rd Symmes Township, Cincinnati, OH 45249 • United States
Indianaplois, IN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wlem Financial Advisors | Indianapolis | IN | 11/2019 | Present |
| Horter Investment Management | Cincinnati | OH | 11/2019 | Present |
| Independent Consulting | Indianapolis | IN | 08/2016 | 08/2017 |
| Stephen D. Dissette And Associates, Llc | Michigan City | IN | 08/2017 | Present |
| Tek Systems | Indianapolis | IN | 10/2021 | 01/2023 |
The Name of the other business: WLEM Financial Advisors LLC Investment Related?: Yes Address of other business: 1211 N. Oakland Ave., Indianapolis, IN 46201 Nature of other business: Financial Education and Financial Planning Your position: CEO/Advisor Start Date: 11/2019 How many hours you devote to the other business per month: 120 How many hours you devote to the other business during securities trading hours: 120 Briefly describe your duties: Provide Financial Education and advise clients The Name of the other business: Stephen D. Dissette and Associates Investment Related?: Yes Address of other business: 450 St. John Road, Suite 725, Michigan City, IN 46360 Nature of other business: Associate Financial Advisor Your position: Associate Start Date: 8/7/2017 How many hours you devote to the other business per month: 120 How many hours you devote to the other business during securities trading hours: 120 Briefly describe your duties: Provide financial education, perform assessments, present analyses, and review suitability studies. the name of the other business; One America whether the business is investment-related ; the address of the other business; 1 American Sq, Indianapolis, IN 46282 The nature of the other business: life insurance annuities; your position: Senior IT Program Manager; title, or relationship with the other business: Senior IT Program Manager; the start date of your relationship: Jan 09 2023; the approximate number of hours/month you devote to the other business: 140; the number of hours you devote to the other business during securities trading hours: 6 to 8; and briefly describe your duties relating to the other business: Manage IT or business process improvement projects from planning, execution and implementation.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-09-14 |
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