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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2023-06-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Wealth Services, Llc | El Segundo | CA | 01/2013 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
(1) VARIOUS INSURANCE COMPANIES, INSURANCE, REPRESENTATIVE - SELLS FIXED INSURANCE - LIFE, ANNUITIES AND LTC; (2) SHAMBAUGH FINANCIAL LLC, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, DBA NAME FOR FINANCIAL SERVICES, START 11/2007, 35HRS/WK (32.5 TRADING HOURS), FINANCIAL ADVISOR;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-07-12 |
| S63 | Uniform Securities Agent State Law Examination | 1997-02-05 |
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