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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-06-29 |
| TX | RA | APPROVED_RES | 2023-06-29 |
Branch Locations
655 W Broadway, 11Th Floor, San Diego, CA 91941 • United States
La Mesa, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Girard Securities, Inc. | San Diego | CA | 05/2013 | 11/2017 |
| Cetera Wealth Services, Llc | El Segundo | CA | 08/2017 | Present |
| Cetera Wealth Services, Llc | Orem | UT | 11/2017 | 12/2017 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
| Cetera Financial Specialists Llc | Schaumburg | IL | 04/2026 | Present |
| Cetera Financial Services | La Mesa | CA | 04/2026 | Present |
1.) FINRA ARBITRATOR; ARBITRATOR; ARBITRATION; START DATE: 08/15/2010 2.) NFA ARBITRATOR; ARBITRATION; START DATE: 01/2012. 3.) NAME OF OTHER BUSINESS: CETERA FINANCIAL SERVICES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 04/2026; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: 3; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-12-01 |
| S63 | Uniform Securities Agent State Law Examination | 2001-03-07 |
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