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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-05-29 |
| NH | RA | APPROVED | 2022-12-16 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Echelon Financial Services | Bow | NH | 07/2016 | 10/2016 |
| National Life Group | Montpelier | VT | 09/2016 | 09/2019 |
| Equity Services, Inc. | Montpelier | VT | 10/2016 | 09/2019 |
| Securities America, Inc. | Pembroke | NH | 09/2019 | 12/2022 |
| The Patriot Financial Group | Westborough | MA | 09/2019 | 11/2024 |
| Alder Tree Financial | Pembroke | NH | 11/2021 | Present |
| Cetera Financial Specialists Llc | Schaumburg | IL | 12/2022 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 12/2022 | Present |
1) NAME OF OTHER BUSINESS: ALDER TREE FINANCIAL; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 10/2021, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 60, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2) EQUINE TEACHER AND TRAINER, NOT INVESTMENT RELATED, CANTERBURY, NH, TEACHING RIDING LESSONS AND TRAINING HORSES, 1H/WEEK, SINCE 06/1999
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-03-28 |
| S63 | Uniform Securities Agent State Law Examination | 2013-12-20 |
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