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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 | 2023-04-11 |
| NY | RA | APPROVED | 2021-03-31 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Canandaigua National Bank | Penfield | NY | 05/2007 | Present |
| Cetra Investment Services Llc | St.CLoud | MN | 03/2018 | Present |
| Cetera Investment Advisers Llc | Penfield | NY | 04/2018 | Present |
1) Canadaigua National Bank, Outside RIA Affiliation, OBS Financial Services, IAR. 2) RELATIONSHIP MANAGER AT CANANDAIGUA NATIONAL BANK & TRUST, ACT AS A RELATIONSHIP MANAGER TO CLIENTS OF CANANDAIGUA NATIONAL BANK WEALTH MANAGEMENT, PROVIDE PLANNING AND RELATIONSHIP DEVELOPMENT, DOES NOT PLACE OR HANDLE SECURITIES TRANSACTIONS, DOES NOT RECOMMEND SPECIFIC SECURITIES TRANSACTIONS NOR MAKE INVESTMENT DECISIONS 3) DIVORCE PLANNING SPECIALIST FOR CANANDAIGUA NATIONAL BANK & TRUST, CONSULTING SERVICES FOR DIVORCE ANALYSIS USING CDFA CERTIFICATION, 2-5/HRS/WK
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2018-08-31 |
| S65 | Uniform Investment Adviser Law Examination | 2001-04-13 |
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