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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-04-01 |
| KY | RA | APPROVED | 2025-02-20 |
Branch Locations
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 |
|---|---|---|---|---|
| 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 |
(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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-12-27 |
| S63 | Uniform Securities Agent State Law Examination | 1994-03-07 |
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