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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-03-21 |
| WA | RA | APPROVED | 2024-03-21 |
Branch Locations
6716 East Side Dr Ne Suite 5, Tacoma, WA 98422 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sound Reliance Inc | Tacoma | WA | 07/1991 | 06/2025 |
| Cetera Advisors Llc | Denver | CO | 02/2012 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | Present |
| Hartley Financial Llc | Tacoma | WA | 02/2025 | Present |
1) MASTER SHOW'S TAE KWON DO CENTER, INSTRUCTOR SINCE 2/2011, 4HR/WK, 20/HR ; 2) NAME OF OTHER BUSINESS: HARTLEY FINANCIAL LLC , INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: EXPENSE MANAGEMENT, START DATE: 02/2025, POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 2, APX NUMBER OF HOURS DURING TRADING HOURS: 0, BRIEF DESCRIPTION OF DUTIES: MANAGE OFFICE EXPENSES;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-06-19 |
| S63 | Uniform Securities Agent State Law Examination | 1988-12-29 |
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