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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-11-22
OH RA APPROVED 2023-06-29
  • TX RA
    APPROVED
    Since 2023-11-22
  • OH RA
    APPROVED
    Since 2023-06-29

Branch Locations

9200 South Hills Blvd Ste 310, Broadview Heights, OH 44147 • United States

Hinckley, OH • United States

Financial Management Strategies, Inc.

9200 South Hills Blvd. Suite 310, Broadview Hts., OH 44147 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-11-22
OH RA APPROVED 2000-04-26
  • TX RA
    APPROVED
    Since 2023-11-22
  • OH RA
    APPROVED
    Since 2000-04-26

Branch Locations

9200 South Hills Blvd. Suite 310, Broadview Hts., OH 44147 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Financial Management Strategies, Inc. Independence OH 04/2000 Present
Austin J. Linden Iii Hinkley OH 07/1996 Present
Plancorp, Inc. Valley View OH 07/1996 04/2019
Cetera Wealth Services, Llc El Segundo CA 09/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Previous Registrations
  • 2010-08-02 → 2013-09-03
    Walnut Street Securities, Inc.
    Valley View, OH
    Valley View, OH
    Broadview Heights, OH
Other Businesses

(1) INDEPENDENT INSURANCE AGENT, DISABILITY, FIXED ANNUITIES, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE, BEGAN 08/1988, 21HRS/WKDY, 21HRS WKEND; (2) INVESTMENT ADVISOR REPRESENTATIVE W/FINANCIAL MGMT STRATEGIES INC, BEGAN 01/2002, 15HRS/WKDY, 15HRS/WKEND; (3) ROTARY CLUB OF CLEVELAND, NOT INVESTMENT RELATED, 1122 PROSPECT AVE., CLEVELAND, OH 44115, SERVICE TO COMMUNITY, START 07/01/2011, 1HR/WK (NON-TRADING HOURS), BOARD TRUSTEE; (4) NAME OF OTHER BUSINESS: VISION WEALTH MANAGEMENT LLC ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL SERVICES ; START DATE: 05/2021 ; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL ; APX NUMBER OF HOURS PER WEEK: 30 ; APX NUMBER OF HOURS DURING TRADING HOURS: 30 ; BRIEF DESCRIPTION OF DUTIES: SECURITIES AND INSURANCE SALES AND SERVICE ;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1993-02-23
  • S63 Uniform Securities Agent State Law Examination
    1993-02-23
Designations
Other Names
  • Dean Linden
  • Austin John Linden

View on SEC IAPD

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