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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 | 2023-02-27 |
| NY | RA | APPROVED | 2021-04-12 |
Branch Locations
115 Stevens Avenue Suite 100, Valhalla, NY 10595 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Financial Specialists Llc | Schaumburg | IL | 10/2005 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 09/2006 | Present |
| Littleton Financial | Valhalla | NY | 11/2019 | Present |
1) SELL HEALTH INSURANCE THROUGH OXFORD & BC/BS, SINCE 05/2008, 1H/WK; 2) RECEIVE RENEWALS ON LIFE INSURANCE THROUGH WILLIAM PENN LIFE INS: 3) HEALTH INSURANCE; NON-INV REL; BROKER/AGENT; REFER CLIENTS FOR PURCHASE OF HEALTH INSURANCE THROUGH VARIOUS INSURANCE CARRIERS; START DATE 11/2012; 2HRS/MNTH: 4)NAME OF OTHER BUSINESS: LITTLETON FINANCIAL; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES / INSURANCE; START DATE: 11/2019; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 50; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: CLIENT MEETINGS, RETIREMENT PLANNING, EDUCATION PLANNING, INSURANCE PLANNING 5) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 12/2020; APX NUMBER OF HOURS PER WEEK: 6; APX NUMBER OF HOURS DURING TRADING HOURS: 6 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS DISABILITY;
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2002-05-16 |
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