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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 | 2024-03-21 |
| PA | RA | APPROVED | 2022-02-16 |
Branch Locations
1386 Old Freeport Rd Suite #2A, Pittsburgh, PA 15238 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sc Distributors, Llc | Costa Mesa | CA | 12/2015 | 07/2017 |
| Sagepoint Financial, Inc. | Pittsburgh | PA | 10/2017 | 12/2020 |
| Cetera Advisors Llc | St Cloud | MN | 12/2020 | Present |
| Lewis, Mcbeth & D'AMbrosio | Pittsburgh | PA | 10/2020 | Present |
| Shady Side Academy | Pittsburgh | PA | 09/2017 | Present |
| Cetera Investment Adviors | Schaumburg | IL | 02/2022 | Present |
| Thompson Financial Planning | Pittsburgh | PA | 06/2026 | Present |
1.LEWIS, MCBETH & D'AMBROSIO, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, EXPENSE MANAGEMENT, STARTED 10/2020, POSITION/TITLE/RELATIONSHIP: PARTNER, APX 40 HOURS PER WEEK,32.5 DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: ENTITY IS USED TO RUN EXPENSES THROUGH - PAYROLL, RENT, ETC.; 2.SHADY SIDE ACADEMY, NOT INVESTMENT RELATED, 423 FOX CHAPEL RD, PITTSBURGH, PA, 15238, SPORTS, STARTED 09/2017, POSITION/TITLE/RELATIONSHIP: HEAD BOYS LACROSSE COACH, APX 10 HOURS PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: HEAD LACROSSE COACH AT A HIGH SCHOOL; 3. NAME OF OTHER BUSINESS: INTERGEN ADVISORS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 11/2023; 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; 4. NAME OF OTHER BUSINESS: THOMPSON FINANCIAL PLANNING; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: EXPENSE MANAGEMENT; START DATE: 6/2026; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: USED TO PAY FEES AND COMMISSIONS INTO FOR TAX PURPOSES;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-12-07 |
| S63 | Uniform Securities Agent State Law Examination | 2005-10-05 |
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