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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2024-03-21 |
| TX | RA | APPROVED_RES | 2024-03-21 |
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 |
|---|---|---|---|---|
| Investors Capital Corporation | Lynnfield | MA | 08/2001 | 10/2016 |
| Cetera Advisors Llc | Denver | CO | 10/2016 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | Present |
1) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERD LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 9/2016, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF TRADING HOURS PER WEEK: 32.5, POSITION/TITLE/RELATIONSHIP: AGENT, BRIEF DESCRIPTION OF DUTIES: LIFE, HEALTH, DISABILITY, ANNUITIES, AND LONG TERM CARE; 2) NAME OF OTHER BUSINESS: THOMAS DRUCIS, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERD LOCATION, NATURE OF BUSINESS: REAL ESTATE RENTAL, START DATE: 1/2013, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF TRADING HOURS PER WEEK: 1, POSITION/TITLE/RELATIONSHIP: OWNER, BRIEF DESCRIPTION OF DUTIES: COLLECT RENT; 3) NAME OF OTHER BUSINESS: NONE, INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: COMIC BOOKS, START DATE: 200, APX NUMBER OF HOURS PER WEEK: 4, APX NUMBER OF TRADING HOURS PER WEEK: 4, POSITION/TITLE/RELATIONSHIP: SALES, BRIEF DESCRIPTION OF DUTIES: BUY, SELL, SHIP COMIC BOOKS; 4) NAME OF OTHER BUSINESS: AMERICAN EQUITY SERVICES CORP, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 1991, APX NUMBER OF HOURS PER WEEK: 4, APX NUMBER OF TRADING HOURS PER WEEK: 4, POSITION/TITLE/RELATIONSHIP: OWNER, BRIEF DESCRIPTION OF DUTIES: DBA FOR SALE OF FIXED INSURANCE;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-11-18 |
| S63 | Uniform Securities Agent State Law Examination | 1992-01-14 |
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