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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2025-09-05 |
| TX | RA | APPROVED_RES | 2025-09-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Avantax Investment Services, Inc. | Andover | NJ | 08/1998 | 09/2025 |
| Asset Holding Corp | Hackettstown | NJ | 01/2007 | 12/2021 |
| Lucky Dog Filmes Llc | Silver Spring | MD | 10/2012 | Present |
| Valley View Chapel | Long Valley | NJ | 03/2015 | 11/2020 |
| Cetera Wealth Services, Llc | Andover | NJ | 09/2025 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 09/2025 | Present |
1) Lucky Dog Films LLC~'NIR'~8215C Fenton Street~Silver Spring~MD~20910~Marketing/Sales Manager~Accountant/Bookkeeper~10/1/2012~14hrs~10hrs~Weekly Accounting 2) Cathleen Sweeney Trust~'NIR'~213 Bear creek Road~Andover~NJ~07821~No Outside Business Activities - Investments Only~Financial Advisor/Consultant~10/22/2001~1hrs~1hrs~Trustee 3) Kelly Sweeney Trust~'NIR'~213 Bear Creek Road~Andover~NJ~07821~No Outside Business Activities - Investments Only~Financial Advisor/Consultant~10/22/2001~1hrs~1hrs~Trustee 4) John Sweeney Associates~'NIR'~213 bear creek road~Andover~NJ~07821~Tax Preparation/Accounting~Owner/Sole Proprietor~1/1/2002~80hrs~80hrs~prepare taxes 5)Valley View Chapel (1); Treasurer/Comptroller; Accounting; NIR; 6; 03/01/2015; 115 East Mill Road Long Valley NJ 07853; Paying bills/making bank deposits/bookkeeping
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2002-05-08 |
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