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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AR | RA | APPROVED | 2023-09-08 |
| TX | RA | APPROVED | 2023-09-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Investment Advisers Llc | San Diego | CA | 02/2001 | 09/2022 |
| Cetera Advisors Llc | El Segundo | CA | 09/2022 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 05/2023 | Present |
| Advanced Wealth Financial, Inc. | Russellville | AR | 02/2024 | Present |
1) NOTARY; NOTARY PUBLIC; ATTORYNEY/PARALEGAL/NOTARY SERVICES; START DATE: 03/01/2021; 4 HOURS PER MONTH. 2) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 02/2024; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS 3) NAME OF OTHER BUSINESS: ADVANCED WEALTH FINANCIAL, INC.; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 02/2024; POSITION/TITLE/RELATIONSHIP: 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 |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-05-10 |
| S63 | Uniform Securities Agent State Law Examination | 1994-04-05 |
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