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1400 Urban Center Drive Suite 475, Vestavia Hills, AL 35242-2245 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2024-01-18 |
| TX | RA | APPROVED | 2024-01-18 |
Branch Locations
1400 Urban Center Drive Suite 475, Vestavia Hills, AL 35242-2245 • United States
3008 Greystone Square, Jackson, TN 38305 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual | Knoxville | TN | 04/2018 | 12/2018 |
| University Of Tennessee Alumni Association | Knoxville | TN | 02/2018 | 04/2018 |
| Vfl Films / Sec Network | Knoxville | TN | 08/2017 | 03/2018 |
| Voya Financial Advisors | Jackson | TN | 05/2017 | 12/2017 |
| Unemployed | Jonesboro | AR | 12/2008 | 05/2017 |
| Voya Financial Advisors, Inc. | Jackson | TN | 07/2019 | 06/2021 |
| Voya Financial Advisors, Inc | Jackson | TN | 06/2019 | 06/2021 |
| Cetera Advisor Networks Llc | El Segundo | CA | 06/2021 | 01/2024 |
| Rfg Advisory, Llc Dba Grounded Financial Planning | Jackson | TN | 01/2024 | Present |
| University Of Tennessee | Knoxville | TN | 08/2016 | 12/2019 |
(1) NAME OF OTHER BUSINESS: PATRIOT EQUITY CREDIT UNION; INVESTMENT RELATED: NO; ADDRESS: 1450 UNION UNIVERSITY DR. JACKSON, TN 38305; NATURE OF BUSINESS: BOARD OF DIRECTORS; START DATE: 06/2023; POSITION/TITLE/RELATIONSHIP: TREASURER ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; BRIEF DESCRIPTION OF DUTIES: VOTE ON BUDGETS, REVIEW FINANCIAL AND LENDING REPORTS, GENERAL ACCOUNT, DEVELOP ORGANIZATIONAL POLICIES AND PROCEDURES. WHILE SERVING AS A VOTING DIRECTOR WITH THE TITLE OF TREASURER FOR OVERALL PROJECTS, HE NEITHER RECEIVES COMPENSATION FOR SITTING ON THE BOARD NOR HAS ACCESS TO MANAGE ANY ASSETS OR INVESTMENTS. (2) FINANCIAL INDEPENDENT GROUP (FIG); INVESTMENT-RELATED; 19520 W. CATAWBA AVE. #200, CORNELIUS, NC 28031; INSURANCE PRODUCTS; INSURANCE AGENT; 20 HOURS PER MONTH DURING SECURITIES TRADING HOURS. (3) GROUNDED FINANCIAL PLANNING; INVESTMENT-RELATED; 3008 GREYSTONE SQUARE, JACKSON, TN 38305; DBA; FINANCIAL ADVISOR; START: 01/18/2024; 160 HOURS/MONTH DURING SECURITIES TRADING HOURS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-11-22 |
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