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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-01-12 |
| NJ | RA | APPROVED | 2018-02-21 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Invest Financial Corporation | Freehold | NJ | 08/2003 | 02/2018 |
| Sun National Bank | Freehold | NJ | 12/2001 | 02/2018 |
| Lpl Financial Llc | Linwood | NJ | 02/2018 | 02/2018 |
| The Provident Bank | South River | NJ | 02/2018 | Present |
| Cetera Investment Services Llc | St.CLoud | MN | 02/2018 | Present |
| Cetera Investment Advisers | Shrewsbury | NJ | 02/2018 | Present |
1. 02/14/2018 - PROSPERIS FINANCIAL SOLUTIONS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-10-24 |
| S63 | Uniform Securities Agent State Law Examination | 1988-06-02 |
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