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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| DC | RA | APPROVED | 2023-06-29 |
| TX | RA | APPROVED_RES | 2023-06-29 |
Branch Locations
316 Pennsylvania Ave Se Ste 402, Washington, DC 20003 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Capital Bank | Washington | DC | 04/2001 | Present |
| Cetera Wealth Services, Llc | El Segundo | CA | 01/2013 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1. NAME OF OTHER BUSINESS: NATIONAL CAPITAL BANK, INVESTMENT RELATED: YES, ADDRESS: 316 PENNSYLVANIA AVE, SE WASHINGTON DC 20003, NATURE OF BUSINESS: BANKING, START DATE: 4/2019, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF TRADING HOURS PER WEEK: 32.5, POSITION/TITLE/RELATIONSHIP: EXECUTIVE VICE PRESIDENT, BRIEF DESCRIPTION OF DUTIES: RESPONSIBLE FOR DAY TO DAY ACTIVITIES OF RETAIL NON-DEPOSIT INVESTMENT PRODUCTS ; 2. NAME OF OTHER BUSINESS: NATIONAL CAPITAL FINANCIAL GROUP, INVESTMENT RELATED: YES, ADDRESS: 316 PENNSYLVANIA, AVENUE SE STE #402, WASHINGTON DC 20003, NATURE OF BUSINESS: FINANCIAL ADVISING AND CONSULTING, START DATE: 1/1/13, APX NUMBER OF HOURS PER WEEK: 40 HOURS, APX NUMBER OF HOURS DURING TRADING HOURS: N/A, BRIEF DESCRIPTION OF DUTIES: INVESTMENT ADVISORY REPRESENTATIVE; 3. NATIONAL CAPITAL BANK, NOT INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, SERVING ON THE BOARD OF THE BANK, START 12/15/2013, <1HR/WK (NON-TRADING HOURS), BOARD MEMBER, DIRECTOR; 4. CARRY PROPERTIES LLC, NOT INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, LLC CONTAINING ONE PROPERTY IN TRUST, START 02/15/2014, 1 HR/WK (NON-TRADING HOURS), MANAGING MEMBER, DISTRIBUTE RENT TO BENEFICIARIES, ASSEMBLE TAX DOCUMENTS FOR ACCOUNTANT;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-01-24 |
| S63 | Uniform Securities Agent State Law Examination | 2002-02-25 |
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