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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2024-07-29 |
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 |
|---|---|---|---|---|
| Cetera Investment Services Llc | St.CLoud | MN | 07/2006 | 07/2024 |
| Independent Bank | Clio | MI | 07/2006 | 07/2024 |
| Cetera Investment Advisers Llc | Bay City | MI | 01/2014 | 07/2024 |
| Commonwealth Financial Network | Waltham | MA | 07/2024 | Present |
| Shoreline Wealth Partners | Bay City | MI | 07/2024 | Present |
Fixed insurance sales, as of 07/26/2024, 2% time spent during business hours; Conducted at branch location; Investment related. Co-owner, Shoreline Wealth Partners, a private entity established to facilitate securities, advisory, and insurance business; as of 07/26/2024; 100% time spent during business hours; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-12-21 |
| S63 | Uniform Securities Agent State Law Examination | 1999-08-12 |
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