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210 Jones St Ste. 104, Dubuque, IA 52001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-04-19 |
Branch Locations
2301 Rosecrans Ave #5100, El Segundo, CA 90245 • United States
1450 American Lane Suite 650, Schamburg, IL 60173 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2016-01-19 |
Branch Locations
2301 Rosecrans Ave #5100, El Segundo, CA 90245 • United States
Valencia, CA • United States
1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2012-05-01 |
Branch Locations
2301 Rosecrans Ave #5100, El Segundo, CA 90245 • United States
Valencia, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Financial Specialists Llc | Schaumburg | IL | 04/2012 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 01/2014 | Present |
| Cetera Investment Services Llc | Saint Cloud | MN | 01/2013 | Present |
| Cetera Advisors Llc | Denver | CO | 01/2013 | Present |
| Cetera Wealth Services, Llc | El Segundo | CA | 01/2013 | Present |
| Tower Square Investment Management Llc | El Segundo | CA | 01/2016 | Present |
| Avantax Investment Services | Dallas | TX | 04/2024 | 09/2025 |
| Avantax Advisory Services | Dallas | TX | 04/2024 | 09/2025 |
| Avantax Planning Partners | Dallas | TX | 04/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-12-05 |
| S63 | Uniform Securities Agent State Law Examination | 2001-08-11 |
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