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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-03-21 |
| FL | RA | APPROVED | 2024-03-06 |
Branch Locations
2332 Galiano Street 2Nd Floor, Coral Gables, FL 33134 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mirae | New York | NY | 03/2013 | 09/2016 |
| Funds Distributor, Llc | Portland | ME | 03/2013 | 09/2016 |
| Chartwell Investment Partners | Berwyn | PA | 10/2015 | 11/2016 |
| Waddell & Reed | Overland Park | KS | 11/2016 | 09/2018 |
| Ivy Distributors Inc | Overland Park | KS | 11/2016 | 09/2018 |
| Edward Jones | Saint Louis | MO | 11/2018 | 02/2023 |
| Cetera Advisors Llc | St Cloud | MN | 02/2023 | Present |
| Triumph Wealth Management | Miami | FL | 01/2023 | Present |
| Cetera Investment Advisers, Llc | Schaumburg | IL | 01/2024 | Present |
1. NAME OF OTHER BUSINESS: TRIUMPH WEALTH MANAGEMENT; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 1/2023, POSITION/TITLE/RELATIONSHIP: OWNER/PARTNER, APX NUMBER OF HOURS PER WEEK: 50, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES AND SALE AND SERVICE OF FIXED INSURANCE; 2. NAME OF OTHER BUSINESS: TRIUMPH WEALTH MANAGEMENT; INVESTMENT RELATED: YES, ADDRESS: 14535 SW 161ST PL, CORAL GABLES, FL, 33739, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 1/2023, POSITION/TITLE/RELATIONSHIP: OWNER/PARTNER, APX NUMBER OF HOURS PER WEEK: 50, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES AND SALE AND SERVICE OF FIXED INSURANCE IN ASSOCIATION WITH WILDE WEALTH MANAGEMENT; 3. NAME OF OTHER BUSINESS: BUSINESS NETWORKING INTERNATIONAL; INVESTMENT RELATED: NO; ADDRESS: 2051 S LE JEUNE RD, CORAL GABLES, FLORIDA, 33134; NATURE OF BUSINESS: NETWORKING GROUP; START DATE: 10/2022; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: 3; BRIEF DESCRIPTION OF DUTIES: EFFECTIVELY RUN MEETINGS EVERY THURSDAY & HAVE COMMUNICATION WITH LEADERSHIP & MEMBERSHIP COMMITTEES;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-12-11 |
| S63 | Uniform Securities Agent State Law Examination | 2006-07-05 |
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