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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 | 2023-08-10 |
| TX | RA | APPROVED_RES | 2023-08-10 |
Branch Locations
117 Metro Ctr Blvd Ste 2008, Warwick, RI 02886 • United States
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 |
|---|---|---|---|---|
| Minnesota Life | St. Paul | MN | 12/1999 | 08/2023 |
| Securian Financial Services | St. Paul | MN | 12/1999 | 08/2023 |
| Pioneer Financial Group | Providence | RI | 12/1999 | Present |
| Cetera Wealth Services, Llc | Warwick | RI | 08/2023 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 08/2023 | Present |
| Kj Capitol Llc | North Kingstown | RI | 05/2025 | Present |
1) NAME OF OTHER BUSINESS: ELITE BROKERAGE SERVICES INC.; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: INSURANCE SERVICES; START DATE: 06/2008; POSITION/TITLE/RELATIONSHIP: MAJORITY SHAREHOLDER; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: 3; BRIEF DESCRIPTION OF DUTIES: OVERSEE THE COMPANY 2) FIXED INSURANCE BROKERAGE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/1995 ADDRESS: , North Kingston RI , United States DESCRIPTION: Agent/Broker 3) METROEAST OFFICE CONDOMINIUM I INC. POSITION: Advisory Board NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2015 ADDRESS: , Warwick RI , United States DESCRIPTION: Advisory Board 4) NAME OF OTHER BUSINESS: NOTARY PUBLIC COMMISSION; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: NOTARIZING DOCUMENTS ; START DATE: 01/2018; POSITION/TITLE/RELATIONSHIP: NOTARY ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: NOTARIZING DOCUMENTS ; 5) PFG HOLDINGS INC. POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 02/01/2008 ADDRESS: , Warwick RI , United States DESCRIPTION: Owner 6) RAM ISLAND PROPERTIES LLC POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2017 ADDRESS: , Charlestown RI , United States DESCRIPTION: Owner 7) NAME OF OTHER BUSINESS: PIONEER FINANCIAL GROUP INC., INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 11/1999, POSITION/TITLE/RELATIONSHIP: PRESIDENT, APX NUMBER OF HOURS PER WEEK: 44, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: OVERSEE THE ORGAINIZATIN; 8) NAME OF OTHER BUSINESS: PIONEER FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 11/1999; POSITION/TITLE/RELATIONSHIP: PRESIDENT/CEO; APX NUMBER OF HOURS PER WEEK: 100; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 9) NAME OF OTHER BUSINESS: KJ CAPITOL LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: EXPENSE MANAGEMENT; START DATE: 5/2025; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: LLC CREATED FOR EXPENSE/TAX MANAGEMENT PURPOSES;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-01-23 |
| S63 | Uniform Securities Agent State Law Examination | 1992-01-20 |
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