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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-03-23 |
| IA | RA | APPROVED | 2017-04-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed, Inc. | Nebraska City | NE | 09/1995 | 04/2017 |
| Various Insurance Carriers For W & R Insurance Agencies | Sidney | IA | 11/1995 | Present |
| Fga, Inc. | Nebraska City | NE | 05/2011 | Present |
| Christopher Johnson | Holiday Island | AR | 09/2014 | Present |
| Commonwealth Financial Network | San Diego | CA | 04/2017 | Present |
1. Pathfinder Wealth Advisors, insurance agent selling fixed insurance, as of 04/06/2017; 5% of time spent during business hours, conducted at branch, investment related. 2. FGA, Inc., owner and president of private entity created to operate securities, advisory, and insurance businesses, as of 01/01/2010, 98% of time spent during business hours, conducted at branch, investment related. 3. Kats Consulting, Inc., co-owner of providing tax preparation and general accounting services business, as of 01/01/2017, 10% of time spent during business hours, not conducted at branch, not investment related. 4. Co-owner, Farm; Located in Sidney, IA; as of 01/15/2021; 0% of time spent during business hours; Not conducted at branch location; Investment related. 5. Co-owner, Sidney Lot Development LLC; private entity created for the purpose of purchasing real estate and reselling; Located at 811 Indiana St., Sydney, IA 51652; as of 3/01/2021; 0% of time spent during business hours; Not conducted at branch location; Not investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-07-31 |
| S63 | Uniform Securities Agent State Law Examination | 1995-11-03 |
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