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Two Liberty Place 50 South 16Th Street, Suite 3700, Philadelphia, PA 19102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2012-01-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wfgia | Louisville | KY | 04/2001 | Present |
| Spectrum Financial Group | Louisville | KY | 05/1980 | Present |
| Swat Llc | Louisville | KY | 06/2008 | Present |
| Transamerica Financial Advisors, Llc | Louisville | KY | 01/2012 | Present |
| Eastgate Village Estates Residents Association | Louisville | KY | 04/2004 | 12/2020 |
| Netlaw Inc. | Luisville | KY | 02/2019 | Present |
| Wealthwave | Johns Creek | GA | 05/2012 | Present |
Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc Wealthwave | marketing | approved co-brand company through WFGIA | 05/2012 | Johns Creek, GA | investment related NETLAW INC / INVESTMENT RELATED - NO / 12910 Shelbyville Rd. Suite 124 Louisville, KY 40243 / Online Legal Document prep service for Wills, PAO, Living Wills, Healthcare Disclosures and Trusts / Associcate / hours per month 10 / Securities Trading hours 0 / duties: Provide clients the online resource to secure their Estate Legal Documents SWAT LLC/no/Louisville KY/owner (50%)4-1995/Property management company created to manage my business lease and expenses plus sublease agreements/no compensation Sandra Pauline Miller dba/Spectrum Financial Group/3000 Breckenridge Ln Louisville KY 40220 502.819.3454/owner-independent agent 04/2002/this dba is for tax purposes single ownership self employed/sell health insurance and Relative Group products vision, dental disability flex spending accounts/assess client needs and shop for best products and best rates for client educate employees on their benefit packages
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-04-03 |
| S63 | Uniform Securities Agent State Law Examination | 1993-11-15 |
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