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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2025-02-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Concourse Financial Group Securities Inc | La Grange | KY | 04/2018 | 05/2020 |
| (Dba) Financial Solutions | La Grange | KY | 07/2019 | 05/2020 |
| Papa John's | La Grange | KY | 12/2014 | 10/2017 |
| Western Kentucky University Housing | Bowling Green | KY | 03/2017 | 05/2018 |
| Financial Solutions | La Grange | KY | 05/2018 | 06/2019 |
| Western Kentucky University | Bowling Green | KY | 07/2015 | 05/2019 |
| Concourse Financial Group Securities Inc | La Grange | KY | 05/2020 | 02/2025 |
| (Dba) Financial Solutions | La Grange | KY | 05/2020 | Present |
| Cetera Wealth Services, Llc | Lagrange | KY | 02/2025 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 02/2025 | Present |
1. (dba) FINANCIAL SOLUTIONS; Investment Related; 309 W Jefferson Street, La Grange, KY 40031; Financial Services; Financial Planning Assistant (07/2019); Financial Adviser (05/2020); Financial Planner (05/2021); 160 hours per month with most 160 hours per month occurring during trading hours; Schedule client meetings, marketing preparation, and act as a licensed adviser. 2. AMANDA CONNAUGHTON INSURANCE; Investment Related; 309 W Jefferson Street, La Grange, KY 40031; Insurance; Producer/Planner; Start Date 01/2021; 20 hours per month with those hours per month occurring during trading hours; Offer clients health and/or life insurance products if needed and/or if they are interested; 3. SAVVY LADIES JUNIOR BOARD; Non-Investment Related; 309 W Jefferson Street, La Grange, KY 40031; Other; Board Member; Start Date 05/2023; 4 hours per month with those 4 hours occurring during trading hours; I will be virtually serving on this board with a responsibility for extending and supporting the organization's educational program and raising awareness about the organization, participating in fundraising and supporting its mission; 4. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 10/2019, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 1, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT, BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-05-08 |
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