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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2005-02-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Afm Services | Stockton | CA | 09/1993 | Present |
| Tax Management Service | Lodi | CA | 09/1999 | Present |
| Cetera Financial Specialists Llc | Schaumburg | IL | 11/2003 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 02/2005 | Present |
1) AFM SERVICES - NOT INVESTMENT RELATED - PO BOX 690551 STOCKTON CA 95209 - OWNER - SINCE 09/1993 - 7HRS/WEEK - TAX, BOOKKEEPING SERVICES, BUSINESS CONSULTING, AND PAYROLL SERVICES - WORK 45HRS+/WK 2) TAX MANAGEMENT SERVICES - NOT INVESTMENT RELATED - SAME AS REGSITERED ADDRESS- OWNER - START 08/95- VARIOUS HRS/WEEK DURING TRADING HRS - TAX REPARATION, POWER OF ATTORNEY FOR IRS AND OTHER TAX MATTERS, CONSULTING AND BOOKKEEPING. 3) SELL MEDICARE SUPPLEMENTS THROUGH MUTUAL OF OMAHA AND UNITED WORLD LIFE; NOT INV REL; LODI, CA; 1 TO 2 HRS/MTH: 4)N/A, NOT INVESTMENT RELATED, 5527 & 5529 RIDGEWAY, STOCKTON, CA 95207, REAL ESTATE , STARTED 09/2016, POSITION/TITLE/RELATIONSHIP: OWNER, APX 2 HOURS PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: OWNS 2 RENTAL PROPERTIES
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-01-27 |
| S63 | Uniform Securities Agent State Law Examination | 1997-06-27 |
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