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Current Employers
Prospera Financial Services, Inc.

5429 Lbj Freeway Suite 750, Dallas, TX 75240 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2025-05-16
  • OH RA
    APPROVED
    Since 2025-05-16

Branch Locations

6450 Poe Avenue Suite 510, Dayton, OH 45414 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cutter & Company, Inc. Dayton OH 03/2009 05/2025
Prospera Financial Services, Inc. Dayton OH 05/2025 Present
Previous Registrations
  • 2009-03-23 → 2025-05-16
    Cutter & Company, Inc.
    Dayton, OH
  • 2006-02-01 → 2009-03-24
    Butler, Wick & Co., Inc.
    Boardman, OH
    Dayton, OH
    Dayton, OH
Other Businesses

1-)IMPRESSION SALON & DAY SPA,LLC, CFO, NOT INVESTMENT RELATED, ENGLEWOOD, OH, 4HOURS PER QUARTER, TAX PREP. 2-)D&G RANGE LINE PROPERITES, INC., NOT INVESTMENT RELATED, 3HRS/MO, WEST MILTON, OH, RE PARTNERSHIP OWNS SALON BUILDING REAL ESTATE MANANAGEMENT (3 PROPERTIES); 1HR/MONTH DURING TRADING HOURS. 3-)CORPORATE MORALITY ACTION CENTER, INC.; NOT INVESTMENT RELATED; 2121 UPPER BELLBROOK RD., XENIA, OH 45385; TO PROVIDE EDUCATION TO THE PUBLIC REGARDING CORPORATION INFLUENCE ON MORALITY; ON BOARD OF DIRECTORS; 1 HOUR/YR LUNCH MEETINGS ARE DURING TRADING HRS. 4-)05/22/2013- SJ WOLFE INVESTMENTS, INC. / DBA ONLY / 100% OF TIME / DAYTON, OH 5-)03/03/14-KSE PARTNERS, / GENERAL MANAGER FOR INVESTMENT PARTNERSHIP FOR HIS CHILDREN FOR INVESTMENT/ACCOUNTING TRACKING/ TROY, OH/ TAX PURPOSES; MAKES INVESTMENT DECISIONS FOR CHILDREDN; COMPENSATION FROM COMMISSIONS; 0-1 HR PER WEEK.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-04-04
S63 Uniform Securities Agent State Law Examination 1990-10-02
  • S65 Uniform Investment Adviser Law Examination
    1997-04-04
  • S63 Uniform Securities Agent State Law Examination
    1990-10-02

View on SEC IAPD

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