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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-06-29 |
| GA | RA | APPROVED | 2023-03-20 |
Branch Locations
233 Middle Street Suite 211, New Bern, NC 28560 • United States
401 Macy Dr, Roswell, GA 30076 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Legacy Financial Advisors | Roswell | GA | 09/2009 | Present |
| Voya Financial Advisors | Roswell | GA | 09/2014 | 06/2021 |
| Cetera Wealth Services, Llc | El Segundo | CA | 06/2021 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2023 | Present |
1) NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 401 MACY DR; ROSWELL; GA; 30076; Fixed Insurance Sales; Independent Insurance Agent; 4/5/2010; 160; 160; Sales of fixed insurance products| 2) NAME OF ENTITY: ASPEN FINANCIAL SOLUTIONS, LLC; Yes; 401 MACY DR; ROSWELL; GA; 30076; FINANCIAL SERVICES/DBA; OWNER; 10/8/2009; 5; 5; INSURANCE & INVESTMENT PRODUCTS| 3) NAME OF ENTITY: Legacy Financial Advisors; Yes; 401 MACY DR; ROSWELL; GA; 30076; DBA; independent agent; 8/13/2010; 80; 80; Sales and service for fixed insurance and financial services for clients|
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-05-26 |
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