Your Advisor's Highest Level of Educational Achievement |
THE WHARTON SCHOOL - UNIVERSITY OF PENNSYLVANIA ATTENDED 2008 (FIELD OF STUDY CERTIFICATE RETIREMENT STRATEGY). |
Your Advisor Currently Maintains the Following Securities Registrations held through LPL Financial |
SERIES 6 - THE INVESTMENT COMPANY PRODUCTS/VARIABLE CONTRACTS LIMITED REPRESENTATIVE
(SERIES 6) QUALIFIES A HOLDER FOR THE SOLICITATION, PURCHASE, AND/OR SALE OF REDEEMABLE SECURITIES OF COMPANIES REGISTERED PURSUANT TO THE INVESTMENT COMPANY ACT OF 1940;
SECURITIES OF CLOSED-END COMPANIES REGISTERED PURSUANT TO THE INVESTMENT COMPANY ACT OF 1940 DURING THE PERIOD OF ORIGINAL DISTRIBUTION ONLY; AND VARIABLE CONTRACTS AND
INSURANCE PREMIUM FUNDING PROGRAMS AND OTHER CONTRACTS ISSUED BY AN INSURANCE COMPANY. SERIES 63 - THE UNIFORM SECURITIES AGENT STATE LAW (SERIES 63) QUALIFIES HOLDERS AS
SECURITIES AGENTS. THE EXAMINATION COVERS THE PRINCIPLES OF STATE SECURITIES REGULATION REFLECTED IN THE UNIFORM SECURITIES ACT. |
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BUSINESS HISTORY FOR PAST 5 YRS:
CETERA FINANCIAL SPECIALISTS LLC (Registered Representative) 11/2005-1/2020
CETERA INVESTMENT ADVISERS LLC (Investment Adviser Representative) 10/2005-1/2020
THE WILMOT GROUP LLC (Tax Preparation & Investments) 08/12-Present
