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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2026-02-09 |
Branch Locations
815 West Main St., Coldwater, OH 45828 • United States
8089 Booster Drive, Maria Stein, OH 45860 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Moorman, Harting & Company | Coldwater | OH | 11/2024 | Present |
| Maloney + Novotny Llc | Delaware | OH | 01/2014 | 11/2024 |
| Avantax Investment Services Inc | Coldwater | OH | 06/2025 | 09/2025 |
| Avantax Advisory Services | Coldwater | OH | 06/2025 | 09/2025 |
| Cetera Wealth Services, Llc | El Segundo | CA | 09/2025 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 09/2025 | Present |
1) Moorman, Harting & Company, CPAs; CPA/accountant; Provide tax and accounting services for individuals, businesses, trusts and estates. This includes reviewing and preparing income tax returns and consulting and tax planning. ; No; 160; 130; 11/18/2024; 815 West Main Street Coldwater OH 45828; Manage clients including reviewing and preparing income tax returns Tax planning and consulting Tax research Accounting services Train staff 2) NAME OF OTHER BUSINESS: KIWANIS CLUB OF COLDWATER INVESTMENT RELATED: NO ADDRESS: PO BOX 144 COLDWATER OH, 45828 NATURE OF BUSINESS: VOLUNTEER ORGANIZATION START DATE: 10/1/2025 POSITION/TITLE/RELATIONSHIP: TRUSTEE APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: ATTEND BOARD MEETINGS AND COMMITTEE MEETINGS, AS NEEDED; 3) NAME OF OTHER BUSINESS: TRUSTEE FOR TAX CLIENTS; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TRUSTEE FOR TAX CLIENTS; START DATE: 3/2026; POSITION/TITLE/RELATIONSHIP: TRUSTEE; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: TRUSTEE FOR TAX CLIENTS; 4) NAME OF OTHER BUSINESS: EXECUTOR FOR TAX CLIENT; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: EXECUTOR FOR TAX CLIENT; START DATE: 3/2026; POSITION/TITLE/RELATIONSHIP: EXECUTOR; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: EXECUTOR FOR TAX CLIENT;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2026-02-09 |
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