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4050 E. Cotton Center Blvd. Suite 40, Phoenix, AZ 85040 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2021-08-24 |
Branch Locations
219 Addison Rd Suite 401, Glastonburry, CT 06033 • United States
4050 E. Cotton Center Blvd. Suite 40, Phoenix, AZ 85040 • United States
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 |
|---|---|---|---|---|
| Principal Life Insurance Company | Glastonbury | CT | 09/2015 | 06/2017 |
| Princor Financial Services Corporation | Glastonbury | CT | 09/2015 | 06/2017 |
| Midstate Insurance & Financial Dba Summit Retirement Solutions | Glastonbury | CT | 06/2009 | Present |
| The Nathan Agencies | Amherst | MA | 07/2017 | 01/2020 |
| Lincoln Investment | Fort Washington | PA | 07/2017 | 04/2018 |
| Change Path Llc | Leawood | KS | 04/2018 | 09/2019 |
| Ae Wealth Management, Llc | Topeka | KS | 09/2019 | 08/2021 |
| Foundations Investment Advisors Llc | Phoenix | AZ | 08/2021 | Present |
1.) MIDSTATE INSURANCE AND FINANCIAL SERVICES, LLC DBA SUMMIT RETIREMENT SOLUTIONS; YES INVESTMENT RELATED; 219 ADDISON RD SUITE 401 GLASTONBURRY, CT, USA, 06033; INSURANCE SALES; OWNER; SINCE 01/2018, APPROX 40 HRS/MO, APPROX 20 HRS/MONTH DURING TRADING; INSURANCE SALES AND SERVICES.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-09-24 |
| S63 | Uniform Securities Agent State Law Examination | 2010-03-04 |
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