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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2023-08-10 |
| TX | RA | APPROVED | 2023-08-10 |
Branch Locations
225 Seven Farms Dr Ste 106, Daniel Island, SC 29492 • United States
Mount Pleasant, SC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Automated Trading Desk Financial Services, Citi | Mt Pleasant | SC | 10/2010 | 09/2019 |
| Citigroup Global Markets Inc | New York | NY | 03/2013 | 09/2019 |
| Securian Financial Service Inc | St. Paul | MN | 10/2019 | 08/2023 |
| Minnesota Life Insurance Company | St. Paul | MN | 10/2019 | 08/2023 |
| Commonwealth Financial Group | Daniel Island | SC | 10/2019 | Present |
| Cetera Wealth Services, Llc | Daniel Island | SC | 08/2023 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 08/2023 | Present |
1) COMMONWEALTH FINANCIAL GROUP FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 10/14/2019 ADDRESS: 225 Seven Farms Drive, Ste 106, Daniel Island SC 29492, United States DESCRIPTION: Fixed Insurance Sales, as opportunities arise during the normal course of advisory business. 2) NAME OF OTHER BUSINESS: GREEN COMPASS, LLC; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATIONS; NATURE OF BUSINESS: ORGANIC WELLNESS PRODUCTS; START DATE: 05/2024; POSITION/TITLE/RELATIONSHIP: INDEPENDENT ADVOCATE; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: SALE OF RETAIL PRODUCTS, CLEAN AND ORGANIC WELLNESS PRODUCTS; 3) NAME OF OTHER BUSINESS: COMMONWEALTH FINANCIAL GROUP; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 11/2019, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-02-26 |
| S63 | Uniform Securities Agent State Law Examination | 2011-11-11 |
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