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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 | 2024-06-18 |
| PA | RA | APPROVED | 2023-06-29 |
Branch Locations
1 disclosure category 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Sewickley | PA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Sewickley | PA | 11/2016 | 06/2022 |
| Cetera Wealth Services, Llc | El Segundo | CA | 06/2022 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
| David Kirkham, Llc | Sewickley | PA | 12/2024 | Present |
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 01/1989; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, ANNUITIES AND LONG-TERM CARE; 2. NAME OF OTHER BUSINESS: DAVID KIRKHAM, LLC, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: EXPENSE MANAGEMENT, START DATE: 12/2024, POSITION/TITLE/RELATIONSHIP: OWNER, LESS THAN 1 HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: LLC FOR TAX PURPOSES.;
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1989-02-03 |
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