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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2026-08-14 |
Branch Locations
1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2025-07-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cadaret, Grant & Co., Inc. | Eagle | CO | 12/2021 | 07/2025 |
| The Hythe Vail | Vail | CO | 10/2021 | Present |
| Unemployed | Eagle | CO | 05/2021 | 10/2021 |
| United Ground Express | Chicago | IL | 12/2019 | Present |
| Eagle County Government | Eagle | CO | 09/2016 | 04/2021 |
| Resort Books | Eagle | CO | 07/2014 | Present |
| Lpl Financial Llc | Eagle | CO | 07/2025 | 08/2026 |
| Creative Investment Concepts | Vail | CO | 12/2021 | Present |
| Treehouse Creations | Eagle | CO | 01/2000 | Present |
| Cetera Wealth Services, Llc | El Segundo | CA | 08/2026 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 08/2026 | Present |
1. NAME OF OTHER BUSINESS: CREATIVE INVESTMENT CONCEPTS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 12/2021 POSITION/TITLE/RELATIONSHIP: PRESIDENT APX NUMBER OF HOURS PER WEEK: 50 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES 2. NAME OF OTHER BUSINESS: THE HYTHE VAIL INVESTMENT RELATED: NO ADDRESS: VAIL, CO NATURE OF BUSINESS: SERVICE INDUSTRY START DATE: 10/2021 POSITION/TITLE/RELATIONSHIP: SERVER APX NUMBER OF HOURS PER WEEK: 4 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: I CREATE COCKTAILS, SERVE FOOD AND TAKE CARE OF THE GUESTS OF THE HOTEL. 3. NAME OF OTHER BUSINESS: UNITED GROUND EXPRESS INVESTMENT RELATED: NO ADDRESS: CHICAGO, IL NATURE OF BUSINESS: AIRLINE SERVICES START DATE: 12/2021 POSITION/TITLE/RELATIONSHIP: CUSTOMER SERVICE APX NUMBER OF HOURS PER WEEK: 6 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: I ISSUE TICKETS AS WELL AS LOAD AND UNLOAD AIRPLANES AT EAGLE COUNTY AIRPORT AS PART OF THE NORMAL OPERATIONS 4. NAME OF OTHER BUSINESS: RESORT BOOKS INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: PUBLISHING START DATE: 07/2026 POSITION/TITLE/RELATIONSHIP: OWNER/CREATIVE DIRECTOR APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: CREATE NEW CONCEPTS FOR CHILDREN'S BOOK SERIES 5. NAME OF OTHER BUSINESS: TREEHOUSE CREATIONS INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: MARKETING SERVICES START DATE: 01/2000 POSITION/TITLE/RELATIONSHIP: OWNER/CREATIVE DIRECTOR APX NUMBER OF HOURS PER WEEK: 6 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: CREATIVE DIRECTOR/GRAPHIC DESIGNER 6. NAME OF OTHER BUSINESS: RENTAL PROPERTY INVESTMENT RELATED: NO ADDRESS: EAGLE, CO NATURE OF BUSINESS: REAL ESTATE SERVICES START DATE: 11/2005 POSITION/TITLE/RELATIONSHIP: LANDLORD APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: LANDLORD
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-11-05 |
| S63 | Uniform Securities Agent State Law Examination | 2023-05-11 |
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