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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 | 2022-11-03 |
| MO | RA | APPROVED | 2020-11-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Allied Securities, Inc. | San Diego | CA | 05/2008 | 09/2022 |
| First Allied Advisory Services, Inc. | Chesterfield | MO | 03/1998 | 11/2020 |
| First Allied Advisory Services | Schaumburg | IL | 11/2020 | 11/2020 |
| Cetera Advisors Llc | Chesterfield | MO | 09/2022 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 11/2020 | Present |
1. PROSPERITY ASSET MANAGEMENT; DBA. REGISTERED REPRESENTATIVE; START DATE: 10/01/2012; 160 HRS. PER MONTH. 2. CHIM, LLC; Owner; Holding Company; 100% Owner; Part time; 2 hours a week. Started 07/01/2014. 3. Phillip Pisciotta; Agent; Insurance (Fixed/Life/Health/P&C); start date 08/08/2016; 4 hours per month.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-11-17 |
| S63 | Uniform Securities Agent State Law Examination | 1998-02-16 |
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