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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2025-05-28 |
Branch Locations
555 Long Wharf Drive 11Th Floor, New Haven, CT 06511 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hopkins School | New Haven | CT | 03/2024 | Present |
| Wealth Advisory Group Llc | New York | NY | 01/2022 | 01/2025 |
| Dragons Lacrosse Club | Fairfield | CT | 09/2024 | 07/2025 |
| Industrial Acceptance Corporation | New Haven | CT | 05/2019 | 01/2022 |
| Ntjra Assoc. Llc | New Haven | CT | 06/2016 | 01/2022 |
| The Guilford Marketplace | Guilford | CT | 08/2017 | 05/2018 |
| Cetera Wealth Services, Llc | El Segundo | CA | 02/2025 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 05/2025 | Present |
1. NAME OF OTHER BUSINESS: HOPKINS SCHOOL INVESTMENT RELATED: NO ADDRESS: 986 FOREST ROAD NEW HAVEN, CT 06515 NATURE OF BUSINESS: SCHOOL SPORTS START DATE: 03/2024 POSITION/TITLE/RELATIONSHIP: BOYS VARSITY LACROSSE HEAD COACH APX NUMBER OF HOURS PER WEEK: 12 APX NUMBER OF HOURS DURING TRADING HOURS: 5 BRIEF DESCRIPTION OF DUTIES: BOYS VARSITY LACROSSE HEAD COACH 2. NAME OF OTHER BUSINESS: WOOSTER SQUARE ADVISORS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 01/2025 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 30 APX NUMBER OF HOURS DURING TRADING HOURS: 7 BRIEF DESCRIPTION OF DUTIES: INTERN 3. NAME OF OTHER BUSINESS: ST. ANDREW APOSTLE SOCIETY; INVESTMENT RELATED: NO; ADDRESS: 515 CHAPEL ST, NEW HAVEN, CT 06511; NATURE OF BUSINESS: VOLUNTEER GROUP; START DATE: 10/2025; POSITION/TITLE/RELATIONSHIP: MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: RELIGIOUS VOLUNTEER GROUP; 4. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 12/2021, APX NUMBER OF HOURS PER WEEK: 5, APX NUMBER OF HOURS DURING TRADING HOURS: 5, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT, BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 5. NAME OF OTHER BUSINESS: THE CHERRY BLOSSOM CELEBRATION COMMITTEE; INVESTMENT RELATED: NO; ADDRESS: 570 CHAPEL STREET NEW HAVEN, CT 06511; NATURE OF BUSINESS: NON PROFIT; START DATE: 02/2026; POSITION/TITLE/RELATIONSHIP: VOLUNTEER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: VOLUNTEER AT WOOSTER SQUARE'S CHERRY BLOSSOM FESTIVAL;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-05-21 |
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