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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 | 2024-03-21 |
| TX | RA | APPROVED | 2024-03-21 |
Branch Locations
2356 Gold Meadow Way Suite 140, Gold River, CA 95670 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Next Financial Group Inc | Houston | TX | 12/2008 | 08/2019 |
| Cetera Advisors Llc | Denver | CO | 08/2019 | Present |
| Pwa Financial | Gold River | CA | 01/2003 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | Present |
NAME OF OTHER BUSINESS: PWA FINANCIAL; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 01/2003; POSITION/TITLE/RELATIONSHIP: OWNER / SENIOR WEALTH MANAGER; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING AND RETIREMENT PLAN SERVICES; NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 07/2019; 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, ANNUITIES AND LONG TERM CARE; NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: N ADDRESS: 8801 ROUNDTABLE CT FAIR OAKS CA 95628; NATURE OF BUSINESS: PERSONAL COLLECTION OF SPORTS MEMORABILIA. SELL TO CONSOLIDATE OR UPGRADE COLLECTION. START DATE: 08/2026 POSITION/TITLE/RELATIONSHIP: SPORTS COLLECTIBLES APX NUMBER OF HOURS PER WEEK: 4 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: I HAVE COLLECTED SPORTS MEMORABILIA AND SPORTS CARDS FOR MOST OF MY LIFE. I AM STARTING TO SELL/TRADE SOME TO CONSOLIDATE, REDUCE OR PURCHASE OTHER MEMORABILIA. I BUY OR LIST ITEMS PREDOMINANTLY ON EBAY.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-04-16 |
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