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Tipp City, OH • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2016-01-27 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pathways Wealth Management | Troy | OH | 06/2010 | 06/2024 |
| Pathways Wealth Management | Troy | OH | 06/2024 | Present |
| Lm Kohn & Company | Cincinnati | OH | 02/2015 | 08/2025 |
(1.) T & H Consulting; Investment Related; 10735 Falls Creek Lane, Centerville OH 45458; Sole Member LLC; RIA Compliance Consulting and Genealogy Services; Start Date: 01/2011; Approx. 5 hours devoted weekly; Assisting with RIA compliance duties and Family History research/DNA analysis. (2.) Vision Financial Partners, LLC; Investment Related; 1270 Macintosh Ct. Troy, OH 45373; Branch Office of LMK & Company; Start Date: 2/2015; 100 hours devoted monthly, 4 hours devoted daily during trading hours; Client Services.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-04-17 |
| S63 | Uniform Securities Agent State Law Examination | 1994-07-25 |
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