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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-04-01
KY RA APPROVED 2025-02-20
  • TX RA
    APPROVED_RES
    Since 2025-04-01
  • KY RA
    APPROVED
    Since 2025-02-20

Branch Locations

309 W. Jefferson Street, Lagrange, KY 40031 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Concourse Financial Group Securities Inc Lagrange KY 03/1999 02/2025
(Dba) Financial Solutions Inc Lagrange KY 01/2001 Present
Cetera Wealth Services, Llc Lagrange KY 02/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 02/2025 Present
  • 03/1999 → 02/2025
    Concourse Financial Group Securities Inc
    Lagrange, KY
  • 01/2001 → Present
    (Dba) Financial Solutions Inc
    Lagrange, KY
  • 02/2025 → Present
    Cetera Wealth Services, Llc
    Lagrange, KY
  • 02/2025 → Present
    Schaumburg, IL
Previous Registrations
  • 2006-02-01 → 2025-02-20
    Concourse Financial Group Securities, Inc.
    Lagrange, KY
    Lagrange, KY
    Birmingham, AL
Other Businesses

(dba) FINANCIAL SOLUTIONS INC; Investment Related; 309 W Jefferson Street, Lagrange, KY 40031; Financial Services; President; Start Date 01/2001; 120 hours per month with 90 of those hours per month occurring during trading hours; Coordinate and execute financial plans and insurance for customers, offer and provide annuity insurance products to customers as the situation warrants, meet with customers, and coordinate their insurance needs related to prudent financial planning. >> ALPHA FINANCIAL GROUP LLC; Non-Investment Related; 309 W Jefferson Street, Lagrange, KY 40031; Rental Property Management; Sole Managing Member; Start Date 01/2009; 3 hours per month with no hours per month occurring during trading hours; I manage one piece of rental real estate which is currently rented to Financial Solutions Inc - I sign checks and reconcile the bank account monthly. >> REAL ESTATE RENTAL; Non- Investment Related; Hilton Head, SC; Rental Property; Co-Property Owner with my Spouse; 1 hour per month with no hours per month during trading hours; Short-term rental property operated through my spouse's business. She runs/operates the business. My name is on the real estate property deed. >> CROSSROADS PREGNANCY RESOURCE CENTER; Non-Investment Related; Lagrange, KY; Board Member; Board Member; Start Date 02/2024; 3 hours per month with no hours per month occurring during trading hours; Along with other board members of this nonprofit organization which assists women and children affected by unplanned pregnancy, I attend board meetings every other month to provide oversight and input to the executive director.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-12-27
S63 Uniform Securities Agent State Law Examination 1994-03-07
  • S65 Uniform Investment Adviser Law Examination
    2000-12-27
  • S63 Uniform Securities Agent State Law Examination
    1994-03-07
Designations

View on SEC IAPD

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