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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2017-12-04 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Regions Bank | Memphis | TN | 04/1999 | Present |
| Cetera Investment Services Llc | St.CLoud | MN | 03/2013 | Present |
| Cetera Investment Advisers Llc | Memphis | TN | 12/2017 | Present |
1.) REGIONS BANK, FIELD SALES DIRECTOR, CUSTOMER SERVICE, DEPOSIT ACCOUNTS, LOANS AND CREDIT CARD PRODUCTS. FIXED INSURANCE SALES THROUGH THE BANK. 2.) BOARD MEMBER & TREASURER FOR RUST COLLEGE, VOTE AT BOARD MEETINGS, DOES NOT HAVE ACCESS TO BANK ACCOUNTS NOR CHECK WRITING PRIVILEGES, DOES NOT PLACE OR HANDLE SECURITIES TRANSACTIONS, DOES NOT RECOMMEND SPECIFIC SECURITIES TRANSACTIONS NOR MAKE INVESTMENT DECISIONS, 1/HR/WK
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-11-30 |
| S63 | Uniform Securities Agent State Law Examination | 2000-04-28 |
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