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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 | 2022-11-03 |
| FL | RA | APPROVED | 2017-06-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Aegis Capital Corp. | New York | NY | 03/2010 | 06/2017 |
| Cetera Investment Advisers Llc | Lakeland | FL | 06/2017 | Present |
| Regions Bank | Lakeland | FL | 06/2017 | Present |
| Cetera Investment Services Llc | St. Cloud | MN | 06/2017 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-08-12 |
| S63 | Uniform Securities Agent State Law Examination | 2001-11-27 |
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