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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2018-04-30 |
Branch Locations
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 |
|---|---|---|---|---|
| Aegis Capital Corp | Tampa | FL | 10/2013 | 12/2017 |
| Regions Bank | Spinghill | FL | 03/2018 | Present |
| Cetera Investment Services Llc | St Cloud | MN | 03/2018 | Present |
| Cetera Investment Advisers Llc | Springhill | FL | 04/2018 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-10-16 |
| S63 | Uniform Securities Agent State Law Examination | 2013-10-28 |
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