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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2024-01-19 |
Branch Locations
207 W Jefferson St Suite 312 , Bloomington, IL 61701 • United States
Normal, IL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fleming Financial Solutions (Woodbury) | Normal | IL | 02/2023 | Present |
| Osf Healthcare | Bloomington | IL | 05/2019 | 12/2022 |
| Homemaker | Normal | IL | 01/2023 | 01/2023 |
| Homemaker | Hong Kong | 01/2011 | 04/2019 | |
| Woodbury Financial Services Inc | Normal | IL | 08/2023 | 01/2024 |
| Osaic Wealth, Inc. | Normal | IL | 01/2024 | Present |
1. McLean County Government; non-investment related; 115 E Washington St, Bloomington, IL 61701; Local elected official; Vice-chair of County Board; 12/2018 to present; 10 hours /month commitment; 0 hours/month during security trading hours; serve on Health and Executive committees and Full Board for McLean County; 2. Center for Healing and Wellness PLLC; non-investment related; 207 W. Jefferson St, Suite 315, Bloomington, IL 61701; sole proprietor and provider; 01/2023 to present; 20 hours/month commitment; 8 hours/month during security trading hours on Friday afternoons from 1-3pm Central time; provide individual, couples, family counseling. 3. CENTER FOR HEALING AND WELLNESS, PLLC POSITION: Owner/Sole Counselor NATURE: Single member PLLC INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 8 START DATE: 01/19/2023 ADDRESS: 207 W. Jefferson St, Suite 315, Bloomington IL 61701, United States DESCRIPTION: This is my small private practice for counseling with my LCSW license. I see up to 5 clients a week on Friday afternoons. 4. JOHNSTON FINANCIAL SERVICES POSITION: Registered Representative NATURE: This business is a single member LLC. INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/02/2024 ADDRESS: 1416 Godfrey Drive, Normal IL 61761, United States DESCRIPTION: I am working with Karen M Fleming and her clients mutual funds. We do work directly on OSAIC platforms, and I am establishing my own book of clients for my Johnston Financial Services LLC with the same investment tools. At this time, I am only utilizing OSAIC services, products and platforms. However, I will be seeking my Life & Health Insurance licensing this summer so that I can make long term care and annuity options available to clients, when appropriate. 5. MCLEAN COUNTY GOVERNMENT POSITION: Local elected official/ Chair NATURE: This is a local government entity. INVESTMENT RELATED: No NUMBER OF HOURS: 16 SECURITIES TRADING HOURS: 2 START DATE: 12/03/2018 ADDRESS: 115 E Washington St, Bloomington IL 61701, United States DESCRIPTION: I serve on Executive committee and Full Board for McLean County?. Our committees oversee the County Government departments and approve contracts for maintenance, special projects, and intergovernmental agreements with other local government. When municipal bonds are issued, they are the operations of a separate entity called the Public Building Commission that owns and operates County Property. Investment choices are solely within the Treasurer's purview and only presented to the board for information, not approval. 6. JOHNSTON FINANCIAL SERVICES POSITION: Registered Representative NATURE: This business is a single member LLC. INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/02/2024 ADDRESS: 1416 Godfrey Drive, Normal IL 61761, United States DESCRIPTION: I am working with Karen M Fleming and her clients mutual funds. We do work directly on OSAIC platforms, and I am establishing my own book of clients for my Johnston Financial Services LLC with the same investment tools. At this time, I am only utilizing OSAIC services, products and platforms. I also have my Life & Health Insurance licensing so that I can offer long term care and annuity options available to clients, when appropriate. 7. CENTER FOR HEALING AND WELLNESS, PLLC POSITION: Owner/Sole Counselor NATURE: Single member PLLC INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 12 START DATE: 01/19/2023 ADDRESS: 207 W. Jefferson St, Suite 315, Bloomington IL 61701, United States DESCRIPTION: This is my small private practice for counseling with my LCSW license. I see up to 5 clients a week on Fridays.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-11-21 |
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