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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NV | RA | APPROVED | 2024-11-22 |
| TX | RA | APPROVED_RES | 2024-11-20 |
| UT | RA | APPROVED | 2023-06-29 |
Branch Locations
895 E Street, Hawthorne, NV 89415 • United States
Riverton, UT • United States
114 W Winchester Street, Suite 100, Murray, UT 84107 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | South Jordan | UT | 04/2012 | 04/2021 |
| Peak Financial Network Solutions | Murray | UT | 04/2021 | Present |
| Cetera Wealth Services, Llc | El Segundo | CA | 04/2021 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1. NAME OF OTHER BUSINESS: PEAK FINANCIAL NETWORK SOLUTIONS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 04/2021 POSITION/TITLE/RELATIONSHIP: OSJ MANAGER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: EXECUTION OF RISK AND COMPLIANCE FUNCTIONS
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-05-29 |
| S63 | Uniform Securities Agent State Law Examination | 1999-07-27 |
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