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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AR | RA | APPROVED | 2025-09-05 |
Branch Locations
3101 South 70Th Street, Fort Smith, AR 72903 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Beall Barclay & Company, Plc | Fort Smith | AR | 01/1994 | 10/2018 |
| 1St Global Capital Corp. | Fort Smith | AR | 08/2005 | 10/2019 |
| 1St Global Advisors, Inc. | Fort Smith | AR | 06/2006 | 10/2019 |
| Avantax Insurance Services, Inc. | Fort Smith | AR | 06/2007 | 09/2025 |
| Landmark Cpa, Plc | Fort Smith | AR | 10/2018 | Present |
| Avantax Investment Services, Inc. | Fort Smith | AR | 10/2019 | 09/2025 |
| Avantax Advisory Services | Fort Smith | AR | 10/2019 | 09/2025 |
| United Way Of Fort Smith Area | Fort Smith | AR | 01/2020 | Present |
| Avantax Insurance Agency And/Or Avantax Insurance Services | Fort Smith | AR | 08/2006 | 09/2025 |
| Cetera Wealth Services, Llc | Fort Smith | AR | 09/2025 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 09/2025 | Present |
1) HAMBRICK RANCH POSITION: Owner NATURE: AGRICULTURE INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: null START DATE: ADDRESS: Cameron OK 74932, United States DESCRIPTION: Owner 2) LANDMARK FINANCIAL, LLC POSITION: CPA/Financial advisor NATURE: Financial services INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2018 ADDRESS: 3101 South 70th Street, Fort Smith AR 72903, United States DESCRIPTION: Referring advisor related to financial services 3) UNITED WAY OF FORT SMITH AREA POSITION: Endowment committee member NATURE: Consulting position on the endowment committee for the local United Way. This endowment is used to fund the administrative costs of the organization. The investments are in the custody of a local bank and the committee advises on allocation of assets, etc. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2020 ADDRESS: 120 N 13th Street, Fort Smith AR 72901, United States DESCRIPTION: One of several people on a committee to oversee and consult on investment of the endowment funds. Advise the executive committee of the United Way on investment options. No authority to trade on the account. 4) COMPASS PROPERTIES OF FORT SMITH, LLC POSITION: Partner NATURE: Rental real estate INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/31/2021 ADDRESS: 3101 South 70th Street, Fort Smith AR 72903, United States DESCRIPTION: General partner holding interest as an investment only. Oversight of partnership activities if needed. 5) ABILITIES UNLIMITED OF FORT SMITH, INC. POSITION: Board member NATURE: Abilities Unlimited of Fort Smith, Inc. is a non-profit organization serving individuals with intellectual and developmental disabilities since the early 1960's. The beginning of the organization was the accumulative effort of several civic minded citizens and families who had vested interest in the welfare of individuals with disabilities. Making it possible for individuals to receive services in the communities where they lived. The organization is committed to providing services that cultivate long-term individual growth. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 11/15/2022 ADDRESS: 3305 Kibler Rd, Van Buren AR 72956, United States DESCRIPTION: Board membership which includes oversight of the entity's management, decisions related to entity direct and initiatives. 6) UNITED WAY OF FORT SMITH AREA POSITION: Endowment committee chairperson NATURE: Consulting position on the endowment committee for the local United Way. This endowment is used to fund the administrative costs of the organization. The investments are in the custody of a local bank and the committee oversees these services on behalf of the United Way's Executive Committee of the Board of Directors.I confirm my understanding that I would need to recuse myself from making any investment advice or any investment activity in this position. I understand that I cannot participate in investment activity or advise no matter how limited it is. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2020 ADDRESS: 120 N 13th Street, Fort Smith AR 72901, United States DESCRIPTION: One of several people on a committee to oversee and with the executive committee of the United Way related to their endowment account and the uses of those funds for administrative purposes.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-06-16 |
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