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303 Broadway Suite 1100, Cincinnati, OH 45202-4203 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2017-09-25 |
Branch Locations
303 Broadway Suite 1100, Cincinnati, OH 45202-4203 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Western Southern Life | Cincinnati | OH | 07/2008 | Present |
1) Provide business-to-business marketing and solicitation activities to downstream intermediaries regarding Separately Managed Accounts and Model Portfolio Delivery options of select advisers contracted with Touchstone Securities. Approximately two hours per business week during trading hours, compensated via an override as percentage of management fee. 2) Expect Miracles Foundation; Not investment related; 89 South St Boston, MA 02111; Nature: Foundation funding cancer research; Board Member; start: 2/27/25; approximately 1 hour/month; approximately 1 hour/month during securities trading hours; Board member and fundraising efforts 3) Apogee Travel Holdings, LLC; not investment related; 301 South McDowell Street, Suite 125 #1136, Charlotte, NC 28204; Travel Website; Investor; start - 3/1/2025; approx. number of hours per month - 0; approx. number of trading hours - 0; Private Investor. 4) University of Dayton - Department of Economics and Finance; Not investment related; 300 College Park Dr, Dayton, OH 45469; Education; Chair of the Department of Economics and Finance Advisory Council; Start date: 10/1/26; Approx. number of hours per month - 1; Approx. number of trading hours - 0; Provide feedback on industry and career trends to support curriculum development and student advising; No compensation.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-11-09 |
| S63 | Uniform Securities Agent State Law Examination | 2013-12-17 |
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