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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MT | RA | APPROVED | 2023-06-29 |
Branch Locations
40 W. Lawrence St. Suite C, Helena, MT 59601 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Wealth Services, Llc | El Segundo | CA | 01/2013 | Present |
| The January Corporation | Helena | MT | 01/2021 | 12/2022 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1. NAME OF OTHER BUSINESS: N/A; INVESTMENT RELATED: NO ADDRESS: 40 W. LAURENCE, SUITE C, HELENA, MT 59601; NATURE OF BUSINESS: REAL ESTATE RENTAL; START DATE: 10/2003; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: OWNER OF CONDOMINIUM THAT IS LEASED TO BRANCH OFFICE; 2. NAME OF OTHER BUSINESS: FIELD WEALTH MANAGEMENT LLC ; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE 1/2023:; POSITION/TITLE/RELATIONSHIP: OWNER/FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-02-21 |
| S65 | Uniform Investment Adviser Law Examination | 1993-04-03 |
| S63 | Uniform Securities Agent State Law Examination | 1989-01-07 |
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