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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| RI | RA | APPROVED | 2024-10-09 |
Branch Locations
35 South County Commons Way Unit D5, South Kingstown, RI 02879 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Barnum Financial Group | Warwick | RI | 06/2023 | 07/2023 |
| South Kingstown Town Beach | South Kingstown | RI | 05/2023 | 09/2023 |
| Little Rhody Lobster And Seafood | Ashaway | RI | 04/2021 | 08/2021 |
| Dunkin' | Richmond | RI | 03/2021 | 04/2021 |
| Cvs | Westerly | RI | 06/2020 | 03/2021 |
| Chariho Regional School District | Wood River Junction | RI | 06/2014 | 06/2020 |
| Bentley University | Waltham | MA | 06/2020 | 05/2024 |
| Cetera Wealth Services, Llc | El Segundo | CA | 06/2024 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 10/2024 | Present |
1. NAME OF OTHER BUSINESS: PIONEER FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES FIRM; START DATE: 07/2024; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING, COMMISSION AND ADVISORY BASED ACCOUNTS AND SERVICING; 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 04/2025 APX NUMBER OF HOURS PER WEEK: 5, APX NUMBER OF HOURS DURING TRADING HOURS: 5, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT, BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 3.NAME OF OTHER BUSINESS: NOTARY INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NOTARY START DATE: 3/15/2025 POSITION/TITLE/RELATIONSHIP: NOTARY APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: NOTARIZATION
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-10-07 |
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