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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KS | RA | APPROVED | 2023-06-29 |
| TX | RA | APPROVED_RES | 2023-06-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Wealth Services, Llc | El Segundo | CA | 09/2013 | Present |
| Financial Planning Concepts, Inc | Wichita | KS | 01/2005 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1)INDEPENDENT INSURANCE AGENT DISABILITY, FIXED ANNUITIES, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE FOR 50HRS/WK SINCE 2005 2). NAME OF OTHER BUSINESS: DBA FINANCIAL PLANNING CONCEPTS, INC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED ADDRESS NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 05/1991 POSITION/TITLE/RELATIONSHIP: RR AND IAR APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: INVESTMENT ADVICE
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-07-25 |
| S63 | Uniform Securities Agent State Law Examination | 2001-12-21 |
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