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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2026-01-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ascensus | Dresher | PA | 12/1996 | 03/2018 |
| Ascensus Financial Services, Llc | Dresher | PA | 09/2015 | 03/2018 |
| Unemployed | Fort Wayne | IN | 03/2018 | 08/2018 |
| Tag Resources, Llc | Knoxville | TN | 08/2018 | 12/2018 |
| 1St Source Bank | Fort Wayne | IN | 12/2018 | Present |
| Lpl Financial Llc | Fort Wayne | IN | 02/2019 | Present |
| Cetera Investment Services Llc | St Cloud | MN | 12/2021 | Present |
| Lake City Bank | Warsaw | IN | 12/2021 | Present |
| Cetera Investment Advisers Llc | Warsaw | IN | 01/2026 | Present |
1. BUD + HILDA'S LITTLE CROOKED PLACE LLC, ESTABLISHED TO HOLD FAMILY OWNED LAKE PROPERTY, 50% OWNER 2. VICE PRESIDENT, TRUST OFFICER AND RETIREMENT PLAN SERVICES MANAGER AT LACKE CITY BANK; CONSULTING ON RETIREMENT PLAN LAW CHANGES; ANNUAL REVIEW OF PLAN COMPLIANCE TESTING AND INVESTMENT OPTION PERFORMANCE; PROVIDE PARTICIPANT EDUCATION ON PLAN DESIGN OPTIONS AND INVESTMENT PLATFORM FOR THE EMPLOYEES; CONSULTING ON RETIREMENT PLAN FUNCTIONS
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2026-01-20 |
| S63 | Uniform Securities Agent State Law Examination | 2016-06-21 |
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