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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 | 2025-03-26 |
| CA | RA | APPROVED | 2025-02-20 |
Branch Locations
20355 Hawthorne Blvd 2Nd Floor, Torrance, CA 90503 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| (Dba) Daiwa Insurance Marketing | Torrence | CA | 03/1997 | Present |
| Foresters Equity Services, Inc | Torrance | CA | 06/2012 | 10/2018 |
| Concourse Financial Group Securities Inc | Torrance | CA | 10/2018 | 02/2025 |
| Cetera Wealth Services, Llc | Torrance | CA | 02/2025 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 02/2025 | Present |
(dba) DAIWA INSURANCE MARKETING INC; Investment Related; 20355 Hawthorne Blvd, 2nd Floor, Torrance, CA 90503; Insurance Broker; President; Start Date 03/1997; 160 hours per month with 100 of those hours per month during trading hours; Insurance product sales and service. >> DAIWA MANAGEMENT LLC; Non-Investment Related; Torrance, CA 90503; Rental Property; Owner; Start Date 10/2020; 2 hours per month with no hours per month during trading hours; Invoicing and depositing monthly rent checks.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-09-16 |
| S63 | Uniform Securities Agent State Law Examination | 2002-04-29 |
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