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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| DE | RA | APPROVED | 2023-08-10 |
Branch Locations
900 Prides Crossing, Newark, DE 19713 • United States
1301 Coastal Hwy Unit 425, Dewey Beach, DE 19971 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Minnesota Life Insurance Company | St Paul | MN | 11/1998 | 08/2023 |
| Securian Financial Services, Inc. | Newark | DE | 11/1998 | 08/2023 |
| Diamond State Financial | Newark | DE | 11/1998 | Present |
| Cetera Wealth Services, Llc | Newark | DE | 08/2023 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 08/2023 | Present |
1) DSFG FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 07/14/2016 ADDRESS: , Newark DE , United States DESCRIPTION: Agent/Broker 2) BEACH HOUSE POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 1 START DATE: 07/23/2020 ADDRESS: 1301 Coastal Highway, Unit 425, Dewey Beach DE 19971, United States DESCRIPTION: I purchased a beach house that will can be rented when I'm not using it. As of right now it is advertised through Remax and my involvement is minimal. 3) FINANCE COMMITTEE OF HOMEOWNERS ASSOCIATION POSITION: Member NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2021 ADDRESS: 1301 Coastal Highway, Unit 425, Dewey Beach DE 19971, United States DESCRIPTION: I will be one of 5 condo owners that make up the finance committee. 4) NAME OF OTHER BUSINESS: DIAMOND STATE FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: INSURANCE, SECURITIES AND ADVISORY SERVICES; START DATE: 08/2023; 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: SECURITIES AND ADVISORY SERVICES;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 1999-02-16 |
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