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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_RES | 2023-01-12 |
| TN | RA | APPROVED | 2021-09-21 |
| NY | RA | APPROVED | 2021-09-20 |
Branch Locations
19 British American Blvd East, Latham, NY 12110 • United States
New Market, TN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | New Market | TN | 11/2008 | 09/2021 |
| Cetera Ivnestment Services Llc | St Cloud | MN | 09/2021 | Present |
| Cetera Investment Advisers Llc | Latham | NY | 09/2021 | Present |
1)NOTARY PUBLIC; DOES NOT INVOLVE FIRM CLIENTS 2) FINANCIAL ADVISOR AT IRON TREE FINANCIAL; DBA FOR CETERA BUSINESS
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-11-20 |
| S63 | Uniform Securities Agent State Law Examination | 1992-11-07 |
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