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2850 Golf Road, Rolling Meadows, IL 60008 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2024-11-01 |
| WA | RA | APPROVED | 2023-11-08 |
Branch Locations
10900 Ne 8Th St., Suite 750, Bellevue, WA 98004 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Nationwide Investment Services Corp | Columbus | OH | 07/2013 | 04/2019 |
| Nationwide | Columbus | OH | 04/2013 | 04/2019 |
| Charles Schwab & Co., Inc. | Lone Tree | CO | 05/2019 | 12/2019 |
| The Stancorp Equities, Inc | Portland | OR | 03/2020 | 03/2022 |
| Stancorp Investments Advisers | Portland | OR | 03/2020 | 03/2022 |
| Umb Financial | Kansas City | MO | 03/2022 | 05/2022 |
| Principal Life Insurance | Seattle | WA | 05/2022 | 08/2023 |
| Principal Securities | Seattle | WA | 06/2022 | 08/2023 |
| Triad Advisors | Norcross | GA | 09/2023 | 08/2024 |
| Unemployed | Aurora | CO | 12/2019 | 03/2020 |
| Gallagher Fiduciary Advisors, Llc | Bellevue | WA | 09/2023 | Present |
| Osaic Wealth, Inc. | Bellevue | WA | 08/2024 | Present |
1. WiPN;not investment related;no physical address;non-profit network;co-chair;9/4/2023;8 hrs/month;2 hrs during trading;attend WiPN events,promote events,secure funding through sponsors,develop relationships with potential sponsors,and relay sponsorship specifics to finance events 2. GALLAGHER BENEFIT SERVICES, INC. POSITION: Retirement Plan Consultant NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 100 START DATE: 08/21/2023 ADDRESS: 2850 Golf Road, Rolling Meadows IL 60008, United States DESCRIPTION: Insurance business. 3. GALLAGHER FIDUCIARY ADVISORS, LLC POSITION: Retirement Plan Consultant NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 100 START DATE: 08/21/2023 ADDRESS: 2850 Golf Road, Rolling Meadows IL 60008, United States DESCRIPTION: Advise on group retirement plan investments, operations, and administration plus also provide employee education.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-01-19 |
| S63 | Uniform Securities Agent State Law Examination | 2015-07-16 |
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