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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2016-06-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Maries County Bank | Vienna | MO | 05/1989 | Present |
| Cetera Investment Services Llc | St.CLoud | MN | 06/2016 | Present |
| Cetera Investment Advisers Llc | Vienna | MO | 06/2016 | Present |
1) PRESIDET/CEO AND CHAIRMAN OF THE BOARD FOR THE MARIES COUNTY BANK; DAY TO DAY MANAGEMENT AS WELL AS SERVING THE BOARD OF DIRECTORS WITH MEETINGS ON A MONTHLY BASIS; BOARD MEMBER OF MARIES COUNTY BANCORP; OVERSITE OF BANK HOLDING COMPANY; TRUSTEE FOR MARIES COUNTY BANCORP ESOP; WORKING WITH PLAN ADMINISTRATOR TO COMPLETE THE TAX DOCUMENTS, COMPLETE DISTRIBUTIONS, DISTRIBUTE EMPLOYEE STATEMENTS; TRUSTEE FOR MARIES COUNTY BANCORP 401K PLAN; WORK WITH PLAN ADVISORS TO ASSIST IN COMPLETION OF TAX DOCUMENTS AND OVERSIGHT OF THE PLAN
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-02-18 |
| S63 | Uniform Securities Agent State Law Examination | 1997-05-21 |
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