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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2023-06-29 |
| TX | RA | APPROVED | 2023-06-29 |
Branch Locations
141 Union Blvd. Suite 350, Lakewood, CO 80228 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2005-03-24 |
| CO | RA | APPROVED | 2004-11-18 |
Branch Locations
141 Union Blvd Suite 350, Lakewood, CO 80228 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hinds Financial Group | Lakewood | CO | 12/2003 | Present |
| Cetera Wealth Services, Llc | El Segundo | CA | 01/2013 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1.NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 12/2010 APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 2 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, AND LONG TERM CARE 2. NAME OF OTHER BUSINESS: HINDS FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADVISORY BUSINESS POSITION/TITLE/RELATIONSHIP: ADVISORY REPRESENTATIVE START DATE: 1990 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING AND INVESTMENT MANAGEMENT. 3. NAME OF OTHER BUSINESS: 141 UNION, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: COMMISSION PURPOSES; START DATE: 04/2018; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 15-20; APX NUMBER OF HOURS DURING TRADING HOURS: 15-20; BRIEF DESCRIPTION OF DUTIES: COMMISSION PURPOSES; 4. NAME OF OTHER BUSINESS: DBA HINDS FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED NATURE OF BUSINESS: RIA - FINANCIAL PLANNING START DATE: 1990 POSITION/TITLE/RELATIONSHIP: PARTNER & CIO APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: CLIENT MEETINGS, INVESTMENT POLICY, AND FIRM MANAGEMENT. 5. NAME OF OTHER BUSINESS: BEN FRANKLIN PTA; INVESTMENT RELATED: NO; ADDRESS: 2270 PLAZA DRIVE, HIGHLANDS RANCH, CO 80129; NATURE OF BUSINESS: PARENT TEACHER ASSOCIATION; START DATE: 05/2018; POSITION/TITLE/RELATIONSHIP: ADMISTRATIVE HELP; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: ADMINISTRATIVE WORK, RAISE FUNDS FOR ITEMS NEEDED BY THE SCHOOL; 6. NAME OF OTHER BUSINESS: LAKEWOOD COUNTRY CLUB ; INVESTMENT RELATED: NO ; ADDRESS: 6800 W. 10TH AVE LAKEWOOD CO 80214 ; NATURE OF BUSINESS: FINANCE COMMITTEE ; START DATE: 02/2018 ; POSITION/TITLE/RELATIONSHIP: FINANCE ADVISORY COMMITTEE ; APX NUMBER OF HOURS PER WEEK: 2 ; APX NUMBER OF HOURS DURING TRADING HOURS: 2 ; BRIEF DESCRIPTION OF DUTIES: REVIEW BALANCE SHEET AND CASH FLOW ;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-04-11 |
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