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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2026-07-29 |
| TX | RA | APPROVED_RES | 2024-04-16 |
| MD | RA | APPROVED | 2024-03-14 |
Branch Locations
572 Titus Ave, Rochester, NY 14617 • United States
Miami Beach, FL • United States
9801 Washingtonian Blvd 330 [Satellite], Gaithersburg, MD 20878 • United States
1 disclosure category 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 |
|---|---|---|---|---|
| Cambridge Investment Research Advsiors, Inc | Fairfield | IA | 08/2012 | 12/2017 |
| Summit Brokerage Services Inc. | Laytonsville | MD | 12/2017 | 09/2019 |
| Summit Financial Group Inc. | Laytonsville | MD | 12/2017 | 05/2021 |
| Cetera Advisor Networks Llc | El Segundo | CA | 09/2019 | 03/2024 |
| Rdm Financial Inc. Dba Merc Capital Management | Laytonsville | MD | 01/2003 | Present |
| Capital Estate Planners | Laytonsville | MD | 08/2019 | 03/2024 |
| Merc Capital | Laytonsville | MD | 12/2017 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | 03/2024 |
| Wells Fargo Advisors Financial Network, Llc | Gaithersburg | MD | 03/2024 | Present |
NOTARY PUBLIC, NOT INV RELATED, GAITHERSBURG, MD, START: 10/14/2020, 36 HOURS A MONTH, 1 HOUR DURING TRADING.; CAPITAL ESTATE PLANNERS, INV RELATED, GAITHERSBURG, MD, 100% OWNERSHIP, START: 5/10/2024, 5 HOURS A MONTH, 1 HOUR DURING TRADING, EDUCATIONAL WORKSHOPS ON REVOCABLE LIVING TRUSTS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-06-05 |
| S63 | Uniform Securities Agent State Law Examination | 1993-09-16 |
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