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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 | 2024-11-11 |
Branch Locations
5001 Weston Parkway Suite 200, Cary, NC 27513 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Adp Broker-Dealer Inc. | Florham Park | NJ | 07/2016 | 06/2024 |
| Adp Llc | Florham Park | NJ | 07/2016 | 06/2024 |
| Financial Directions, Llc | Cary | NC | 09/2024 | Present |
| Unemployed | Raleigh | NC | 06/2024 | 09/2024 |
| Cetera Advisors | St Cloud | MN | 10/2024 | Present |
| Cetera Advisors | St Cloud | MN | 09/2024 | 10/2024 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 11/2024 | Present |
1. NAME OF OTHER BUSINESS: FINANCIAL DIRECTIONS, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: 3(21) CO-FIDUCIARY AS WELL AS PRIVATE EXECUTIVE WEALTH MANAGEMENT PRACTICE; START DATE: 09/2024; POSITION/TITLE/RELATIONSHIP: SENIOR RETIREMENT SERVICES CONSULTANT; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: PROVIDE CONSULTATIVE SERVICES AS TO PLAN DESIGN OF QUALIFIED RETIREMENT PLANS. PREPARE AND PRESENT INVESTMENT ANNUAL REPORTS AS WELL AS EMPLOYEE EDUCATION MEETINGS;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-11-08 |
| S63 | Uniform Securities Agent State Law Examination | 2016-08-15 |
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