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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2025-09-05 |
| TX | RA | APPROVED_RES | 2025-09-05 |
Branch Locations
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 |
|---|---|---|---|---|
| 1St Global Capital Corp. | Phoenix | AZ | 04/2005 | 10/2019 |
| 1St Global Advisors, Inc. | Phoenix | AZ | 07/2005 | 10/2019 |
| Avantax Insurance Services, Inc. | Phoenix | AZ | 07/2005 | 09/2025 |
| Pk Financial Strategies | Phoenix | AZ | 06/2010 | Present |
| Avantax Advisory Services | Phoenix | AZ | 10/2019 | 09/2025 |
| Avantax Investment Services, Inc. | Phoenix | AZ | 10/2019 | 09/2025 |
| Cetera Wealth Services, Llc | Phoenix | AZ | 09/2025 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 09/2025 | Present |
1) RENTAL PROPERTY POSITION: OWNER NATURE: RENTAL REAL ESTATE INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: null START DATE: 08/20/2010 ADDRESS: Phoenix AZ , DESCRIPTION: Rental real estate 2) DB GOLF, LLC POSITION: PRESIDENT NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2005 ADDRESS: Phoenix AZ , DESCRIPTION: SHELL COMPANY TO HANDLE REVENUE 3) MARINO INSURANCE POSITION: ADVISOR NATURE: HEALTH INSURANCE INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: ADDRESS: Phoenix AZ 85012, DESCRIPTION: ADVISOR REFERS CLIENTS TO HAVE THEIR HEALTH INSURANCE AUDITED 4) PK FINANCIAL STRATEGIES, LLC POSITION: REGISTERED INVESTMENT ADVISER NATURE: FINANCIAL SERVICES INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 06/01/2010 DESCRIPTION: INVESTMENT RELATED 5) ADVANTAGE INSURANCE SOLUTIONS POSITION: Representative for Property/Casualty risk management business NATURE: The business handles the home/auto/umbrella coverage for our clients and we share the revenue of this business as I am licensed for PC business. INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/21/2018 ADDRESS: 5300 N. Central Ave, Phoenix AZ 85012, DESCRIPTION: I request Advantage Insurance Solutions to run an insurance audit on my financial client. They send me a report showing the outcome of current coverage and whether my client should change their coverage. I support this transaction if the client needs to change coverage. 6) MARINO INSURANCE POSITION: ADVISOR NATURE: HEALTH INSURANCE INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2005 ADDRESS: 5300 N Central Ave Ste 110, Phoenix AZ 85012, DESCRIPTION: ADVISOR REFERS CLIENTS TO HAVE THEIR HEALTH INSURANCE AUDITED
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-07-15 |
| S63 | Uniform Securities Agent State Law Examination | 1996-06-10 |
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