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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-06-27 |
| DE | RA | APPROVED | 2024-08-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| St. Luke's | Allentown | PA | 03/2023 | Present |
| University Of Wisconsin Football | Madison | WI | 08/2022 | 12/2022 |
| Athletic Republic | Moosic | PA | 01/2021 | 05/2022 |
| Fallston Liquors | Fallston | MD | 06/2022 | 07/2022 |
| Whitehouse Auto Station | Whitehouse | NJ | 02/2017 | 01/2020 |
| Marywood University | Scranton | PA | 08/2017 | 05/2021 |
| Delaware Valley Regional High School | Frenchtown | NJ | 09/2013 | 06/2017 |
| Cetera Wealth Services, Llc | El Segundo | CA | 03/2024 | Present |
| St Luke's | Allentown | PA | 03/2023 | Present |
| Cetera Investment Advisers | Schaumburg | IL | 05/2024 | Present |
1. NAME OF OTHER BUSINESS: DIAMOND STATE FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 05/2024 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: DUTIES INVOLVE FINANCIAL ADVISING AND PLANNING FOR CLIENTS 2. NAME OF OTHER BUSINESS: ST LUKE'S INVESTMENT RELATED: NO ADDRESS: 1110 ST LUKE'S WAY ALLENTOWN, PA NATURE OF BUSINESS: HEALTHCARE START DATE: 03/2023 POSITION/TITLE/RELATIONSHIP: SPORTS PERFORMANCE COACH APX NUMBER OF HOURS PER WEEK: 36 APX NUMBER OF HOURS DURING TRADING HOURS: 24 BRIEF DESCRIPTION OF DUTIES: I TRAIN ATHLETES THAT I AM ASSIGNED TO WORK WITH, AS WELL AS TRAINING PRIMARILY AT A HIGH SCHOOL. 3. NAME OF OTHER BUSINESS: DIAMOND STATE FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: INSURANCE, SECURITIES AND ADVISORY SERVICES; START DATE: 08/2023; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: SECURITIES AND ADVISORY SERVICES;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-04-26 |
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