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200 East 7Th Street, Auburn, IN 46706 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-01-02 |
| IN | RA | APPROVED | 2023-05-16 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Nestle Health Sciences - Aimmune | Brisbane | CA | 12/2003 | 04/2023 |
| Dekalb Central Schools | Waterloo | IN | 07/2017 | Present |
| Cx Institutional, Llc | Auburn | IN | 04/2023 | Present |
(1) Mr. Hartsough spends approximately 2 hours a month as Head Tennis Coach at DeKalb Central Schools. The other business is not investment related. The location of the other business is 3326 CR 427, Waterloo, IN 46793. Mr. Hartsough has been the Head Tennis Coach at DeKalb Central Schools since 2017. 0 hours are devoted to the other business during trading hours. (2) Hartsough Farm -operates small farm- Owner - Not investment related - 15 hours per month devoted to activity - 0 hours during securities trading hours - Located at 3083 County Road 36, Auburn, IN 46706
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-05-16 |
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