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1 Vanderbilt Avenue 23Rd Floor, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2026-04-22 |
Branch Locations
200 Carolina Point Parkway 4Th Floor, Greenville, SC 29607 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Investment Services Llc | Saint Cloud | MN | 01/2013 | 12/2022 |
| Cetera Advisors Llc | Denver | CA | 01/2013 | 12/2022 |
| Cetera Advisor Networks Llc | El Segundo | CA | 01/2013 | 12/2022 |
| Cetera Financial Specialists Llc | Schaumburg | IL | 01/2016 | 12/2022 |
| Girard Securities, Inc. | San Diego | CA | 01/2016 | 12/2022 |
| Investors Capital Corp. | Lynnfield | MA | 01/2016 | 11/2016 |
| First Allied Securities, Inc. | San Diego | CA | 01/2016 | 09/2022 |
| Legend Equities Corporation | Palm Beach Gardens | FL | 01/2016 | 12/2016 |
| Summit Brokerage Services, Inc. | Boca Raton | FL | 01/2016 | 12/2019 |
| Vsr Financial Services, Inc. | Overland Park | KS | 01/2016 | 11/2016 |
| United Planners | Scottsdale | AZ | 03/2023 | 12/2024 |
| J.W. Cole Financial, Inc. | Tampa | FL | 02/2026 | 02/2026 |
| J.W. Cole Advisors, Inc. | Tampa | FL | 02/2026 | 02/2026 |
| Unemployed | Panama City | FL | 12/2024 | 02/2026 |
| Gwn Securities Inc | Palm Beach Gardens | FL | 02/2026 | 03/2026 |
| Td Bank N.A. | Greenville | SC | 04/2026 | Present |
| Td Private Client Wealth Llc | Greenville | SC | 04/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-12-16 |
| S63 | Uniform Securities Agent State Law Examination | 1996-08-19 |
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