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Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2026-01-02 |
| TX | RA | APPROVED_RES | 2025-08-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Hamilton Square | NJ | 05/2015 | 03/2020 |
| Ameriprise Financial Services, Llc | Hamilton | NJ | 03/2020 | 08/2025 |
| Cetera Wealth Services Llc | El Segundo | CA | 08/2025 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 08/2025 | Present |
| Game Time Performance; | Howell | NJ | 07/2016 | 05/2026 |
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: 10/1985; 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; 2. NAME OF OTHER BUSINESS: ST. JOSEPHS MENS GUILD; INVESTMENT RELATED: NO; ADDRESS: MILLSTONE TOWNSHIP, NJ 08510; NATURE OF BUSINESS: RELIGIOUS; START DATE: 09/1999; POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: DEPOSITING, WRITING CHECKS (ABILITY TO WRITE CHECKS BUT DO NOT HAVE SIGNATURE AUTHORITY), PAYING INVOICES; 3. NAME OF OTHER BUSINESS: 1 LANGE AVE (RENTAL PARTNERSHIP); INVESTMENT RELATED: NO; ADDRESS: HARVEY CEDARS, NJ 08008; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 06/1987; POSITION/TITLE/RELATIONSHIP: CO-OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: HANDLING OF FINANCES AND CO-PROPERTY MANAGEMENT; 4. NAME OF OTHER BUSINESS: REAL ESTATE RENTAL (BORDENTOWN OFFICE CONDO); INVESTMENT RELATED: NO; ADDRESS: BORDENTOWN, NJ 08505; NATURE OF BUSINESS: REAL ESTATE RENTAL; START DATE: 02/2025; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: COLLECTING RENT; 5. NAME OF OTHER BUSINESS: TIMESHARE (ST. THOMAS); INVESTMENT RELATED: NO; ADDRESS: ST THOMAS, VIRGIN ISLANDS; NATURE OF BUSINESS: VACATION PROPERTY / RENTAL; START DATE: 10/2025; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: USE AS VACATION PROPERTY AS WELL AS COLLECTING RENTAL INCOME; 6. NAME OF OTHER BUSINESS: DFG FINANCIAL GROUP LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 09/1986; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES SERVING CLIENTS;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-04-09 |
| S63 | Uniform Securities Agent State Law Examination | 1989-03-14 |
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