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134 W State Street Suite 200, Traverse City, MI 49684 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-03-08 |
| MI | RA | APPROVED | 2024-01-02 |
Branch Locations
134 W State Street Suite 200, Traverse City, MI 49684 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cg Financial Services | Midland/Traverse City | MI | 10/2017 | 10/2019 |
| Chemical Bank | Midland | MI | 05/2017 | 08/2017 |
| Wolverine Bank | Midland | MI | 02/2017 | 05/2017 |
| Capital Asset Advisory Services | Haslett | MI | 06/2018 | 10/2019 |
| Cambridge Investment Research, Inc. | Traverse City | MI | 10/2019 | 12/2023 |
| Cambridge Investment Research Advisors, Inc. | Traverse City | MI | 10/2019 | 12/2023 |
| Northwood University | Midland | MI | 08/2013 | 05/2017 |
| Spwm Advisors Llc | Traverse City | MI | 01/2024 | Present |
Name of other business; SPWM Insurance Agency LLC, Investment-related; no, Address; 134 W State St, Suite 200, Traverse City, MI. 49684, Nature of other business; Insurance services, Position; Insurance agent, Start date; 01/03/2024, Time spent per month; 2 hrs/month, Time spent during securities trading hours per month; 0 hrs/month, Duties; Insurance producer Name of other business; The Baldwin Four LLC, Investment-related; no, Address; 1907 Sweet Fern Way, , Traverse City, MI. 49696, Nature of other business; Holding company, Position; Owner, Start date; 01/01/2020, Time spent per month; 0 hrs/month, Time spent during securities trading hours per month; 0 hrs/month, Duties; Oversight
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2019-11-01 |
| S65 | Uniform Investment Adviser Law Examination | 2018-06-01 |
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