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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 | 2023-06-29 |
Branch Locations
13105 Northwest Frwy Ste 101, Houston, TX 77040 • United States
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 |
|---|---|---|---|---|
| Allianz Life | Dallas | TX | 02/1985 | Present |
| Fidelity Union Life Ins | Dallas | TX | 02/1985 | Present |
| Voya Financial Advisors | Houston | TX | 09/2014 | 06/2021 |
| Cetera Wealth Services, Llc | El Segundo | CA | 06/2021 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
NAME OF ENTITY:Farris Financial Group; Yes; 13105 NORTHWEST FRWY STE 101; HOUSTON; TX; 77040; DBA; Owner; 11/1/2003; 160; 160; DBA for sales of securities and insurance products.|NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 13105 NORTHWEST FRWY STE 101; HOUSTON; TX; 77040; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 11/1/2003; 160; 160; SALES OF FIXED INSURANCE PRODUCTS|
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-08-23 |
| S63 | Uniform Securities Agent State Law Examination | 1994-06-02 |
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