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880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-01-11 |
| IL | RA | APPROVED | 2021-02-26 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Milwaukee | WI | 03/2014 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Milwaukee | WI | 11/2016 | 06/2019 |
| Raymond James Financial Services, Inc. | Dekalb | IL | 02/2021 | Present |
| Raymond James Financial Services Advisors, Inc. | Dekalb | IL | 02/2021 | Present |
| First National Bank Of Omaha | Dekalb | IL | 07/2019 | Present |
| Fnbo | Lake In The Hills | IL | 04/2021 | Present |
(1)Name of Business: First Investments and Planning Address: 4520 W. Algonquin Rd, Lake in the Hills, IL, 60156, United States Activity Type: Support Company - Non-Owner Position/Title: Associate/Employee Investment Related: No Start Date: 04/08/2021 Hours per month devoted to this business: 41-80 Hours per month devoted to this business during trading hours: 41+ Description of duties: Financial Advisor.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2014-04-08 |
| S65 | Uniform Investment Adviser Law Examination | 2003-06-09 |
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