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210 Jones St Ste. 104, Dubuque, IA 52001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-07-05 |
Branch Locations
Hawthorne, CA • United States
2301 Rosecrans Ave Ste # 5100, El Segundo, CA 90245 • United States
1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-06-29 |
Branch Locations
2301 Rosecrans Ave #5100, El Segundo, CA 90245 • United States
Hawthorne, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Wealth Services, Llc | El Segundo | CA | 05/2013 | Present |
| Cetera Advisors Llc | Denver | CO | 05/2013 | Present |
| Cetera Investment Services Llc | Saint Cloud | MN | 05/2013 | Present |
| Cetera Financial Specialists Llc | Schaumburg | IL | 05/2013 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 01/2014 | Present |
| Independent Vocalist | Hawthorne | CA | 06/2022 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
| Avantax Planning Partners, Inc | Dallas | TX | 07/2024 | Present |
| Avantax Advisory Services | Dallas | TX | 07/2024 | 09/2025 |
| Avantax Investment Services | Dallas | TX | 07/2024 | 09/2025 |
1. NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: NO ADDRESS: SAME AS RESIDENTIAL LOCATION NATURE OF BUSINESS: SMALL BUSINESS START DATE: 05/2019 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 2-6 APX NUMBER OF HOURS DURING TRADING HOURS: NONE BRIEF DESCRIPTION OF DUTIES: CRAFTING HANDMADE JEWELRY 2. NAME OF OTHER BUSINESS: INDEPENDENT VOCALIST; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: ENTERTAINMENT; START DATE: 6/2022; POSITION/TITLE/RELATIONSHIP: VOCALIST; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: VOCALIST WITH REGULAR AND GUEST BAND FOR OCCASIONS AT VENUES;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-07-18 |
| S63 | Uniform Securities Agent State Law Examination | 1997-10-15 |
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