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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_RES | 2022-11-03 |
| CA | RA | APPROVED | 2020-11-12 |
Branch Locations
655 W Broadway 12Th Fl, San Diego, CA 92101 • United States
San Marcos, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Allied Securities, Inc. | San Diego | CA | 07/2007 | 09/2022 |
| First Allied Advisory Services, Inc. | Chesterfield | MO | 05/2012 | 11/2020 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 11/2020 | Present |
| Cetera Advisors Llc | Greenwood Village | CO | 09/2022 | Present |
| Cetera Wealth Services, Llc | El Segundo | CA | 04/2026 | Present |
| Cetera Financial Specialists Llc | Schaumburg | IL | 04/2026 | Present |
| Cetera Investment Services Llc | St Cloud | MN | 04/2026 | Present |
1. NAME OF OTHER BUSINESS: CHRIST PRESBYTERIAN CHURCH INVESTMENT RELATED: NO, ADDRESS: 7807 CANTELLA STREET, CARLSBAD, CA, 92009, NATURE OF BUSINESS: RELIGIOUS, START DATE: 08/2023, POSITION/TITLE/RELATIONSHIP: ELDER, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: OVERSIGHT OF CHURCH PERSONNEL, REVIEW COMP AND ANNUAL REVIEWS. 2. NAME OF OTHER BUSINESS: BOY SCOUT TROOP 709; INVESTMENT RELATED: NO; ADDRESS: 490 S MELROSE DR, VISTA, CA 92081; NATURE OF BUSINESS: BOARD; START DATE: 8/2025; POSITION/TITLE/RELATIONSHIP: COMMITTEE CHAIR; APX NUMBER OF HOURS PER WEEK: 2-4; APX NUMBER OF HOURS DURING TRADING HOURS: 2-4; BRIEF DESCRIPTION OF DUTIES: OVERSEE COMMITTEE MEETINGS & PLAN EVENTS FOR THE TROOP;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-04-26 |
| S63 | Uniform Securities Agent State Law Examination | 2004-02-24 |
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