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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 | 2024-03-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Advisors Llc | Denver | CO | 01/2013 | Present |
| Pennington, Bass & Associates | Lubbock | TX | 01/2011 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | Present |
1. NAME OF OTHER BUSINESS: PENNINGTON, BASS & ASSOCIATES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: COMPREHENSIVE FINANCIAL PLANNING START DATE: 1/2011 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF TRADING HOURS PER WEEK: 32.5 POSITION/TITLE/RELATIONSHIP: CFP, CRC & AIF BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES 2.FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, ADDRESS IS THE REGISTERED LOCATION, START NOVEMBER 2014, 5 HOURS PER WEEK - VARIES DURING TRADING HOURS, INSURANCE AGENT - SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG-TERM CARE. 3. NAME OF OTHER BUSINESS: UMC FOUNDATION BOARD INVESTMENT RELATED: NO ADDRESS: 602 INDIANA AVE LUBBOCK TX 79415 NATURE OF BUSINESS: FOUNDATION OF LOCAL HOSPITAL START DATE: 12/2016 POSITION/TITLE/RELATIONSHIP: VOTING MEMBER OF BOARD APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 2 BRIEF DESCRIPTION OF DUTIES: MEMBERSHIP COMMITTEE, ATTEND MEETINGS & FUNCTIONS; 4. NAME OF OTHER BUSINESS: NOTARY; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NOTARY SERVICES; START DATE: 1/2026; POSITION/TITLE/RELATIONSHIP: NOTARY PUBLIC; APX NUMBER OF HOURS PER WEEK: 0.25; APX NUMBER OF HOURS DURING TRADING HOURS: 0.25; BRIEF DESCRIPTION OF DUTIES: PROVIDE NOTARY SERVICES; 5. NAME OF OTHER BUSINESS: COMMUNITY FOUNDATION OF WEST TEXAS; INVESTMENT RELATED: NO; ADDRESS: 6102 82ND ST, 8B, LUBBOCK, TX 79424; NATURE OF BUSINESS: BOARD; START DATE: 1/2026; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER AND MEMBER OF INVESTMENT COMMITTEE; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1L BRIEF DESCRIPTION OF DUTIES: VOTING MEMBER OF THE OVERALL BOARD AND ALSO A VOTING MEMBER OF THE INVESTMENT COMMITTEE;
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2004-01-09 |
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