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Current Employers
Cerity Partners Llc

99 Park Avenue 16Th Floor, New York, NY 10016 • United States

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2025-01-01
  • KY RA
    APPROVED
    Since 2025-01-01

Branch Locations

2201 High Wickham Place, Louisville, KY 40245 • United States

99 Park Avenue 16Th Floor, New York, NY 10016 • 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
Nylife Securities, Llc Louisville KY 05/2018 02/2020
New York Life Insurance Company Louisville KY 09/2016 02/2020
University Of Louisville Louisville KY 08/2012 12/2016
Argi Investment Services Louisville KY 03/2020 04/2023
Cerity Partners Louisville KY 04/2023 Present
  • 05/2018 → 02/2020
    Nylife Securities, Llc
    Louisville, KY
  • 09/2016 → 02/2020
    New York Life Insurance Company
    Louisville, KY
  • 08/2012 → 12/2016
    University Of Louisville
    Louisville, KY
  • 03/2020 → 04/2023
    Argi Investment Services
    Louisville, KY
  • 04/2023 → Present
    Cerity Partners
    Louisville, KY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-11-02
S63 Uniform Securities Agent State Law Examination 2018-09-21
  • S65 Uniform Investment Adviser Law Examination
    2020-11-02
  • S63 Uniform Securities Agent State Law Examination
    2018-09-21
Designations

View on SEC IAPD

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