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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-07-12 |
Branch Locations
10199 Southside Blvd, Builidng One Ste 200, Jacksonville, FL 32256 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oak And Iron Advisors, Llc | Jacksonville | FL | 05/2026 | Present |
| Securian Financial Services Inc | St Paul | MN | 08/2015 | 06/2017 |
| Minnesota Life Insurance Co | St Paul | MN | 08/2015 | 06/2017 |
| Capital Financial Stragegies | Jacksonville | FL | 08/2015 | 06/2017 |
| Allstate Insurance Co | Orange Park | FL | 07/2017 | 10/2020 |
| Pruco Securities, Llc. | Jacksonville | FL | 10/2020 | 06/2023 |
| Prudential Insurance Company Of America | Jacksonville | FL | 10/2020 | 06/2023 |
| Cetera Wealth Services, Llc | El Segundo | CA | 06/2023 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1. NAME OF OTHER BUSINESS: CAPITAL FINANCIAL STRATEGIES; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 8/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES & SALE & SERVICE OF FIXED INSURANCE; 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: 8/2023; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE; 3. NAME OF OTHER BUSINESS: OAK AND IRON ADVISORS, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: LLC START DATE: 6/1/2026 POSITION/TITLE/RELATIONSHIP: FOUNDER APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: WILL USE FOR COMPENSATION PURPOSES FROM CETERA ONLY.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2022-09-13 |
| S65 | Uniform Investment Adviser Law Examination | 2017-03-24 |
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