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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2025-06-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bok Financial | Tulsa | OK | 05/2021 | 06/2024 |
| Bok Financial | Tulsa | OK | 06/2019 | 04/2021 |
| Bok Financial | Tulsa | OK | 03/2019 | 05/2019 |
| Bok Financial | Tulsa | OK | 07/2014 | 03/2019 |
| Thrivent Investment Management Inc | Lehighton | PA | 04/2024 | 05/2025 |
| Russellmania Promotions Llc | Thorpe | PA | 01/2022 | 12/2022 |
| Thrivent Financial | Appleton | WI | 06/2024 | 12/2024 |
| Thrivent Financial | Appleton | WI | 12/2024 | 05/2025 |
| Mauch Chunk Trust Company Dba Mauch Chunk Trust Wealth Managemen | Jim Thorpe | PA | 05/2025 | Present |
| Lifex Research Corporation | Albrightsville | PA | 06/2025 | 06/2025 |
| Cetera Wealth Services, Llc | El Segundo | CA | 06/2025 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2025 | Present |
1. NAME OF OTHER BUSINESS: MAUCH CHUNK TRUST COMPANY DBA MAUCH CHUNK TRUST WEALTH MANAGEMENT; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: BANK; START DATE: 05/2025; POSITION/TITLE/RELATIONSHIP: INVESTMENT SERVICES REP; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: BANK EMPLOYEE THAT OFFERS SECURITIES AND INSURANCE RELATED PRODUCTS TO BANK'S CLIENTS; 2. NAME OF OTHER BUSINESS: REDWOOD DRIVE LLC; INVESTMENT RELATED: NO; ADDRESS: ALBUQUERQUE, NM 87120 NATURE OF BUSINESS: LONG-TERM RENTAL PROPERTY; START DATE: 03/2021; POSITION/TITLE/RELATIONSHIP: SOLE MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: RESIDENTIAL LONG-TERM RENTAL PROPERTY. PROPERTY IS MANAGED BY A PROFESSIONAL PROPERTY MANAGER; 3. NAME OF OTHER BUSINESS: JIM THORPE YOUTH SOCCER ASSOCIATION, INC. INVESTMENT RELATED: NO; ADDRESS: JIM THORPE, PA 18229; NATURE OF BUSINESS: YOUTH SOCCER ORGANIZATION START DATE: 12/2024; POSITION/TITLE/RELATIONSHIP: HEAD OF SPONSORSHIP, FUNDRAISING, AND COMMUNITY OUTREACH COMMITTEE; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: ACQUIRE SPONSORS AND SPONSORSHIP DOLLARS FOR YOUTH SOCCER PROGRAMS. CREATE AND OPERATE FUNDRAISING ACTIVITIES FOR YOUTH SOCCER PROGRAM;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-08-07 |
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