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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2024-07-19 |
| TX | RA | APPROVED_RES | 2024-07-12 |
Branch Locations
2 disclosure categories 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 |
|---|---|---|---|---|
| Morgan Stanley | Chicago | IL | 06/2009 | 07/2024 |
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2015 | 07/2024 |
| Cetera Advisors Llc | St Cloud | MN | 07/2024 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 08/2019 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 07/2024 | Present |
1. NAME OF OTHER BUSINESS: COE FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 07/2024 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: SOLICITING FINANCIAL PRODUCTS AND ADVICE TO SECURITIES CLIENTS
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-12-23 |
| S63 | Uniform Securities Agent State Law Examination | 1988-10-31 |
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