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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2025-12-08 |
| RI | RA | APPROVED | 2025-12-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Country Spirit | Henniker | NH | 09/2009 | 10/2016 |
| Storms | Contoocook | NH | 01/2013 | 10/2016 |
| Henniker Fitness Center | Henniker | NH | 03/2012 | 10/2016 |
| Guided Financial Strategies, Llc | Chepachet | RI | 01/2015 | Present |
| Lpl Financial, Llc | East Hartford | CT | 12/2014 | 12/2025 |
| Cetera Wealth Services, Llc | El Segundo | CA | 12/2025 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 12/2025 | Present |
1. NAME OF OTHER BUSINESS: GUIDED FINANCIAL STRATEGIES, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SECURITIES / FINANCIAL SERVICES START DATE: 01/2015 POSITION/TITLE/RELATIONSHIP: PARTNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: CLIENT RELATIONS, ACCOUNT OPERATIONS, CLIENT REVIEWS, OFFICE MANAGER; 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 11/2018 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 2 BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS;
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2025-07-11 |
| S65 | Uniform Investment Adviser Law Examination | 2025-03-24 |
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