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Shorewood, IL • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2026-01-05 |
| RI | RA | APPROVED | 2026-01-05 |
| MA | RA | APPROVED | 2024-11-12 |
| CT | RA | APPROVED | 2024-07-23 |
| ME | RA | APPROVED | 2024-07-23 |
| NH | RA | APPROVED | 2024-07-23 |
| NY | RA | APPROVED | 2024-06-28 |
Branch Locations
42 Weybosset Street, Penthouse, Providence, RI 02903 • United States
Shorewood, IL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Kestra Financial Services, Inc. | Austin | TX | 04/2016 | 03/2019 |
| Strategic Retirement Partners | Shorewood | IL | 01/2016 | Present |
| Gps Investment Advisors | Providence | RI | 02/2007 | Present |
| Lpl Financial, Llc | Providence | RI | 03/2019 | Present |
| Global Retirement Partners, Llc | Providence | RI | 04/2019 | 06/2024 |
| Wellth Advisory Services, Llc | Providence | RI | 06/2024 | Present |
1) 02/2007 - DBA for LPL Business (entity for LPL business) - GPS INVESTMENT ADVISORS, LLC - 90% - INVESTMENT RELATED - PROVIDENCE, RI 02903 2) 10/2015 - DBA for LPL Business (entity for LPL business) - Strategic Retirement Partners - 0% - INVESTMENT RELATED - SHOREWOOD, IL 60404 3) 01/2017 - Business Entity For Tax/Investment Purposes Only - Given To Fly, LLC - 0% - INVESTMENT RELATED - SHOREWOOD, IL 60404 4) 04/2019 - Business Entity For Tax/Investment Purposes Only - SRP HOLDINGS GROUP, LLC - 0% - INVESTMENT RELATED - SHOREWOOD, IL 5) 01/2009 - Non-Variable Insurance - Neighborhood Health Plan of RI - 1% - INVESTMENT RELATED - PROVIDENCE, RI 02903. 6) 4/1/2019 - SRP - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 10/2015. 7) 08/14/2024 - WellTh Advisory Services, LLC - Registered Investment Advisor DBA - IAR - Investment Related - At Reported Business Location(s) - Start Date 02/14/2007 - 200 Hours Per Month/ During Trading - I provide investment advisory services through WellTh Advisory Services, LLC, an independent investment advisor firm. I started this business activity in 8/2024. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its service6s at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 8) 08/15/2024 - The Horace A. Kimball & S. Ella Kimball Foundation - Non-Profit Board Member - Not Investment Related - 130 Woodville Road Hope Valley, Rhode Island 02832 - Start Date 09/30/2024 - 4 Hours per Month/ 2 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-07-02 |
| S63 | Uniform Securities Agent State Law Examination | 1992-11-24 |
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