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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-09-05 |
Branch Locations
369 Franklin Street Cyclorama Building, Buffalo, NY 14202 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lumsden & Mccormick Llp | Buffalo | NY | 02/2011 | Present |
| 1St Global Capital Corp | Buffalo | NY | 10/2014 | 10/2019 |
| Avantax Investment Services, Inc. | Buffalo | NY | 10/2019 | 09/2025 |
| Avantax Advisory Services | Buffalo | NY | 10/2019 | 09/2025 |
| Cetera Wealth Services, Llc | Buffalo | NY | 09/2025 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 09/2025 | Present |
1) LUMSDEN & MCCORMICK FIANNCIAL SERVICES, LLC POSITION: REFERRING ADVISOR NATURE: FINANCIAL SERVICES INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 02/01/2015 ADDRESS: Cyclorama Bldg., United States DESCRIPTION: REFERRING CLIENTS TO THE FINANCIAL SERVICES DIVISION WHEN APPROPRIATE. 2) WORLD TRADE CENTER BUFFALO NIAGARA POSITION: Treasurer NATURE: I am a volunteer Board Member & Treasurer of World Trade Center Buffalo Niagara (WTCBN), a not for profit organization. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2018 ADDRESS: 726 Exchange Street, Suite 812, Buffalo NY 14210, United States DESCRIPTION: As the Treasurer, I am responsible for the overall financial reporting for the organization. I do not have check writing authority. The Organization does not have any investments.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-01-12 |
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