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858 Camp Street, New Orleans, LA 70130 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2019-11-19 |
Branch Locations
858 Camp Street, New Orleans, LA 70130 • United States
131 Wing Street, Arlington Heights, IL 60005 • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Wells Fargo Advisors | Lake Forest | IL | 11/2012 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Lake Forest | IL | 11/2016 | 11/2019 |
| Lpl Financial Llc | Arlington Heights | IL | 11/2019 | 07/2024 |
| Newedge Advisors, Llc (Gwm Advisors, Llc) | Arlington Heights | IL | 11/2019 | Present |
1. Mr. Ceffalio is a licensed insurance agent/broker. He may offer insurance products and receive customary fees as a result of insurance sales. A conflict of interest may arise as these insurance sales may create an incentive to recommend products based on the compensation earned. To mitigate this potential conflict, Mr. Ceffalio, as a fiduciary, will act in the client's best interest. 2. Mr. Ceffalio manages rental real estate properties in Norridge, IL. Mr. Ceffalio devotes 5 hours per month to this activity outside of trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-12-19 |
| S63 | Uniform Securities Agent State Law Examination | 1995-07-07 |
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