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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-09-05 |
Branch Locations
4140 Mother Lode Dr. Suite 116, Shingle Springs, CA 95682 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hilltop Securities Inc. | Roseville | CA | 12/2015 | 01/2022 |
| Avantax Investment Services, Inc. | Gold River | CA | 02/2022 | 09/2025 |
| Avantax Advisory Services | Gold River | CA | 02/2022 | 09/2025 |
| Avantax Insurance Agency, Llc. | Gold River | CA | 02/2022 | 02/2023 |
| Finra | Washington | DC | 07/2015 | Present |
| Avantax Insurance Agency And/Or Avantax Insurance Services | Gold River | CA | 01/2022 | 09/2025 |
| Sacramento State University | Sacarmento | CA | 08/2023 | 07/2025 |
| Cetera Wealth Services, Llc | Carmichael | CA | 09/2025 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 09/2025 | Present |
1) FINRA POSITION: Arbitrator NATURE: Arbitrator - Help to resolve disputes between FINRA member firms and Clients, as well as FINRA firms and registered employees. Listen to pertinent facts from each side and decide on merits of either parties arguments. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2015 ADDRESS: 1735 K Street, NW, Washington DC 20006, United States DESCRIPTION: -Act as impartial Arbitrator for FINRA arbitrations.-Listen to opposing parties arguments on the merits of their disputes.-Decide on resolution of dispute-Decide if awards or other actions are appropriate.-Review case for further actions if appropriate 2) FASS WEALTH STRATEGIES GROUP (FWSG) POSITION: Founder/Advisor NATURE: FWSG is a Marketing Name for our group of registered representatives/investment adviserrepresentatives and is not a division of the firm nor is it a legal entity. INVESTMENT RELATED: Yes NUMBER OF HOURS: 130 SECURITIES TRADING HOURS: 130 START DATE: 02/01/2022 ADDRESS: 11573 Melones Circle, Gold River CA 95670, United States DESCRIPTION: -Financial Advisory-Wealth Management-Retirement Planning-Estate Planning-Investment Management 3) International Federation for Retirement Education; Member Board of Standards; Member Board of Standards. Review rules of organization, vote on procedural changes that meet standards, review membership statistics, discuss ideas for guiding the future of the organization.; NIR; 1; 07/01/2019; P.O. Box 524 Barrington IL 60011-0524; -Review policies and procedures for InFRE.-Vote on procedural changes that meet standards-Review membership statistics-Discuss ideas for guiding the future of the organization-Meet once a quarter for a conference call 4) Pioneer Village HOA; Director; Director on the Board of our village Homeowners Association. Manage affairs of HOA. Attend monthly meetings. Review annual budget, discuss enforcement of the CC&R's.; NIR; 1; 10/02/2017; 11715 Gold Country Blvd. Gold River CA 95670; -Make decisions and oversee village issues.-Attend monthly meetings-Review annual budget-Discuss enforcement of the CC&R's-Manage database for Village gate; 5) NAME OF OTHER BUSINESS: RESERVE OFFICERS ASSOCIATION; INVESTMENT RELATED: NO; ADDRESS: 1 CONSTITUTION AVENUE NE, WASHINGTON, D.C. 20002; NATURE OF BUSINESS: BOARD; START DATE: 11/2025; POSITION/TITLE/RELATIONSHIP: CHAIRMAN INSURANCE AND FINANCIAL SERVICES COMMITTEE; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ACT IN AN ADVISORY CAPACITY ON ALL MATTERS, INCLUDING RISK MANAGEMENT ADVICE AND COUNSEL ON INSURANCE AND EMPLOYEE BENEFITS PROGRAMS COVERING THE ASSOCIATION;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-05-18 |
| S63 | Uniform Securities Agent State Law Examination | 1987-03-11 |
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