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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2023-08-18 |
Branch Locations
1166 Dekalb Pike Suite 112, Blue Bell, PA 19422 • United States
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Philadelphia | PA | 06/2013 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Philadelphia | PA | 11/2016 | 08/2023 |
| Cetera Wealth Services, Llc | El Segundo | CA | 08/2023 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 08/2023 | Present |
| Galloway Berkshire Capital Llc | Blue Bell | PA | 08/2023 | Present |
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 01/1992 APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS ANNUITIES AND LONG-TERM CARE 2. NAME OF OTHER BUSINESS: GALLOWAY BERKSHIRE CAPITAL LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 08/2023 APX NUMBER OF HOURS PER WEEK: 45 APX NUMBER OF HOURS DURING TRADING HOURS: 45 POSITION/TITLE/RELATIONSHIP: MANAGING DIRECTOR / BUSINESS OWNER BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES , PROVIDING BROKERAGE AND ADVISORY SERVICES
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1992-04-20 |
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