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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KS | RA | APPROVED | 2024-03-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ruan Logistics | Des Moines | IA | 02/2016 | 10/2016 |
| Waddell & Reed, Inc. | Oakley | KS | 01/2017 | 02/2017 |
| Oakley Public Library | Oakley | KS | 04/2013 | 05/2019 |
| Various Insurance Carriers For W & R Insurance Agencies | Oakley | KS | 07/2017 | 04/2021 |
| Thomas Annis--Advisor W&R | Oakley | KS | 11/2016 | 01/2017 |
| Thomas Annis | Oakley | KS | 08/2017 | 04/2021 |
| Oakley Housing Authority | Oakley | KS | 07/2019 | Present |
| At Home Financial, Llc | Oakley | KS | 06/2021 | Present |
| Cetera Advisors Llc | St Cloud | MN | 06/2021 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | Present |
1) NAME OF OTHER BUSINESS: AT HOME FINANCIAL, LLC INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 06/2021, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 48, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2) NAME OF OTHER BUSINESS: OAKLEY HOUSING AUTHORITY, INVESTMENT RELATED: NO, ADDRESS: WEST 5TH ST, OAKLEY, KS, 67748, NATURE OF BUSINESS: HOUSING AUTHORITY, START DATE: 08/2019, POSITION/TITLE/RELATIONSHIP: BOARD MEMBER, APX NUMBER OF HOURS PER WEEK: 1, NOT DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: PROVIDE OVERSIGHT; 3) NAME OF OTHER BUSINESS: N/A, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: NOTARY SERVICES, START DATE: 02/2010, POSITION/TITLE/RELATIONSHIP: NOTARY, LESS THAN ONE HOUR PER WEEK,, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: NOTARIZE DOCUMENTS;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-05-31 |
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