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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| DE | RA | APPROVED | 2023-08-10 |
| TX | RA | APPROVED | 2023-08-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Securian Financial Services Inc. | St. Paul | MN | 03/2018 | 08/2023 |
| Minnesota Life | St.PAul | MN | 03/2018 | 08/2023 |
| Diamond State Financial | Newark | DE | 03/2018 | Present |
| Hsbc Bank | New York | NY | 12/1986 | 11/2017 |
| Unemployed | Bear | DE | 12/2017 | 02/2018 |
| Cetera Wealth Services, Llc | Newark | DE | 08/2023 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 08/2023 | Present |
1. DSFG FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 03/01/2018 ADDRESS: , Newark DE , United States DESCRIPTION: Agent/Broker; 2. NAME OF OTHER BUSINESS: DIAMOND STATE FINANCIAL GROUP; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: INSURANCE, SECURITIES, AND ADVISORY SERVICES, START DATE: 8/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: SECURITIES AND ADVISORY SERVICES;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-05-30 |
| S63 | Uniform Securities Agent State Law Examination | 1995-02-22 |
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