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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 | 2023-01-12 |
| IA | RA | APPROVED | 2016-04-27 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Security National Bank (Mapleton) | Mapleton | IA | 06/1985 | Present |
| Cetera Investment Services Llc | St. Cloud | MN | 08/2005 | Present |
| Cetera Investment Advisors Llc | Mapleton | IA | 04/2016 | Present |
1.) NEW PERSONAL BANKER-DEPOSITS, OPENING/CLOSING ACCOUNTS & OTHER BANK DUTIES. 2.) MAPLE VALLEY-ANTHON OTO SCHOOL FOUNDATION-TREASURER-DUAL SIGNERS. 3.) FLANIGAN BROS. INC- FAMILY FARMING BUSINESS. 4.) ABILITY TO REFER BUSINESS TO THE TRUST/WEALTH MANAGEMENT AREA OF THE BANK. TRUST/WEALTH MANAGEMENT AREA COMPENSATES FOR SUCH REFERRALS. 5.) BOARD MEMBER FOR ST THERESE OF LISIEUX PARISH
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-04-25 |
| S63 | Uniform Securities Agent State Law Examination | 1996-10-01 |
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