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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2024-03-21 |
| TX | RA | APPROVED | 2024-03-21 |
Branch Locations
12600 Deerfield Parkway Suite 100, Alpharetta, GA 30004 • United States
Ball Ground, GA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Financial Assets, Inc. | Alpharetta | GA | 08/1997 | Present |
| Cetera Advisors Llc | El Segundo | CA | 01/2013 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | Present |
(1) NAME OF OTHER BUSINESS: FINANCIAL ASSETS, INC.; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: EXPENSE MANAGEMENT; START DATE: 8/1997; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: RESPONSIBLE FOR DAY-TO-DAY OPERATIONS OF TAX ENTITY; (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: 06/2020 APX NUMBER OF HOURS PER WEEK: 4 APX NUMBER OF HOURS DURING TRADING HOURS: 4 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, LONG TERM CARE & MEDICARE (3) LANDSCAPE DESIGN, START 2007, 555 BISHOP RD BALL GROUND GA 30107, DESIGNER, 5HR/MO
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-03-15 |
| S63 | Uniform Securities Agent State Law Examination | 2000-09-22 |
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