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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 | 2024-03-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oak Hill Country Club | Rochester | NY | 08/2015 | 10/2020 |
| Lake Nona Golf And Country Club | Lake Nona | FL | 10/2015 | 06/2018 |
| Old Memorial Golf Club | Tampa | FL | 10/2018 | 03/2019 |
| Maidstone Coffee Co | Rochester | NY | 03/2019 | 04/2019 |
| Bob O Link Golf Club | Highland Park | IL | 05/2019 | 11/2019 |
| Independent Contractor | Lake Zurich | IL | 11/2019 | 03/2020 |
| Wegmans | Rochester | NY | 11/2020 | 01/2021 |
| Allstate Insurance | Rochester | NY | 02/2021 | 11/2021 |
| Manufacturers And Traders Bank | Buffalo | NY | 11/2021 | 01/2023 |
| Cetera Advisors | St Cloud | MN | 07/2022 | 12/2022 |
| Cetera Advisors Llc | St Cloud | MN | 12/2022 | Present |
| Prescott'S Provisions/Don Benoit | Tonawanda | NY | 02/2022 | 08/2025 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | Present |
| Rocky Point Real Estate | Inlet | NY | 05/2024 | Present |
1. NAME OF OTHER BUSINESS: PENFIELD FINANCIAL GROUP, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 08/2022, 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; 2. NAME OF OTHER BUSINESS: ROCKY POINT REAL ESTATE; INVESTMENT RELATED: NO; ADDRESS: 21 ROCKY POINT LANE INLET, NY ; NATURE OF BUSINESS: REAL ESTATE; START DATE: 05/2024; POSITION/TITLE/RELATIONSHIP: REAL ESTATE AGENT; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: AGENT FOR RESIDENTIAL REAL ESTATE PROPERTIES;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-07-17 |
| S63 | Uniform Securities Agent State Law Examination | 2023-05-25 |
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