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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2024-01-11 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stokes Trainor Chevrolet Buick Gmc | Newberry | SC | 01/2022 | 05/2023 |
| American Senior Benefits | Greenville | SC | 01/2021 | 01/2022 |
| Anytime Fitness | Chapin | SC | 06/2019 | 04/2020 |
| Anytime Fitness | Newberry | SC | 04/2019 | 01/2021 |
| Newberry Country Club | Newberry | SC | 04/2019 | 05/2019 |
| Highland Industries | Cheraw | SC | 06/2018 | 08/2018 |
| Mooree's Cheraw Country Club | Cheraw | SC | 05/2018 | 08/2018 |
| Greenriver Country Club | Chesterfield | SC | 05/2018 | 08/2018 |
| Legal Shield | Chesterfield | SC | 12/2017 | 02/2018 |
| Newberry College | Newberry | SC | 08/2015 | 12/2019 |
| Cetera Wealth Services, Llc | El Segundo | CA | 10/2023 | Present |
| Cetera Advisor Networks Llc | El Segundo | CA | 05/2023 | 10/2023 |
| South Carolina Independent School Association - Scisa | Orangeburg | SC | 09/2023 | Present |
| Sides Financial Strategies / Financial Principles, Inc. | Irmo | SC | 05/2023 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 01/2024 | Present |
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 09/2020; 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; 2. NAME OF OTHER BUSINESS: SOUTH CAROLINA INDEPENDENT SCHOOL ASSOCIATION - SCISA; INVESTMENT RELATED: NO; ADDRESS: ORANGEBURG, SC 29118; NATURE OF BUSINESS: HELP REGULATE HIGH SCHOOL FOOTBALL GAMES AND SEE THAT ALL OF THE RULES ARE FOLLOWED, AND THE GAME IS CONDUCTED SMOOTHLY; START DATE: 09/2023; POSITION/TITLE/RELATIONSHIP: FOOTBALL OFFICIAL; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: PARTICIPATE IN HIGH SCHOOL LEAGUE FOOTBALL GAMES AS AN ON THE FIELD OFFICIAL; 3. NAME OF OTHER BUSINESS: SIDES FINANCIAL STRATEGIES / FINANCIAL PRINCIPLES, INC.; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 05/2023; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 30; BRIEF DESCRIPTION OF DUTIES: STUDYING AND LEARNING THE FINANCIAL ADVISING BUSINESS. SIMPLE TASKS LIKE PREPPING PAPERWORK FOR APPOINTMENTS, HELPING ORGANIZE FOR REVIEWS, ETC.; 4. NAME OF OTHER BUSINESS: PALMETTO MEN'S CLUB; INVESTMENT RELATED: NO; ADDRESS: 121 REDFEARN ST CHESTERFIELD, SC 29709 NATURE OF BUSINESS: NON PROFIT; START DATE: 11/2023; POSITION/TITLE/RELATIONSHIP: COLUMBIA PHILANTHROPY REPRESENTATIVE; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: OVERSEE COLUMBIA REGION, HELP ORGANIZE EVENTS SUCH AS TOY DRIVES, GIVEAWAYS AND SPEAKER EVENTS, MEMBERSHIP INFORMATION; 5. NAME OF OTHER BUSINESS: CHAPIN CHAMBER OF COMMERCE; INVESTMENT RELATED: NO; ADDRESS: 302 COLUMBIA AVE CHAPIN, SC 29036; NATURE OF BUSINESS: NETWORKING ORGANIZATION; START DATE: 05/2024 POSITION/TITLE/RELATIONSHIP: MEMBER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: BUSINESS NETWORKING PURPOSES, PERFORMING OUTREACH TO NEARBY COMMUNITIES 6. NAME OF OTHER BUSINESS: TAKE IT DOWN A NOTCH PODCAST; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: PODCAST; START DATE: 04/2025; POSITION/TITLE/RELATIONSHIP: CO-HOST; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: CO HOST FOR ENTERTAINMENT PURPOSES SUCH AS MEDIA TOPICS, SPORTS AND MUSIC; 7. NAME OF OTHER BUSINESS: RUSHTON COMMUNITY HOA, INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL ADDRESS; NATURE OF BUSINESS: HOA, START DATE: 04/2025, POSITION/TITLE/RELATIONSHIP: NOMINATED BOARD MEMBER, APX NUMBER OF HOURS PER WEEK: 2, APX NUMBER OF HOURS DURING TRADING HOURS: 0, BRIEF DESCRIPTION OF DUTIES: OVERSEE OUR OPERATIONS SUCH AS NEIGHBORHOOD OUTREACH AND QUALITY CONTROL, PARTNERSHIPS WITH BUSINESSES FOR LANDSCAPING, POOL MAINTENANCE, ETC., AND HELPING TO MAINTAIN A COMMUNITY BUDGET THAT DOES NOT INCREASE OUR FEES/DUES TO OUR HOMEOWNERS; 8. NAME OF OTHER BUSINESS: MIDLANDS TECHNICAL COLLEGE HARBISON CAMPUS; INVESTMENT RELATED: NO; ADDRESS: 7300 COLLEGE ST, IRMO, SC 29063; NATURE OF BUSINESS: COLLEGE COURSE; START DATE: 10/2025; POSITION/TITLE/RELATIONSHIP: INSTRUCTOR; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: INSTRUCT COURSE;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-12-14 |
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