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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2025-02-20
  • MI RA
    APPROVED
    Since 2025-02-20

Branch Locations

2359 Livernois Road Suite 300, Troy, MI 48083 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Concourse Financial Group Securities Inc Troy MI 07/1998 02/2025
(Dba) Oxford Capital Troy MI 09/1997 Present
Cetera Wealth Services, Llc Troy MI 02/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 02/2025 Present
  • 07/1998 → 02/2025
    Concourse Financial Group Securities Inc
    Troy, MI
  • 09/1997 → Present
    (Dba) Oxford Capital
    Troy, MI
  • 02/2025 → Present
    Cetera Wealth Services, Llc
    Troy, MI
  • 02/2025 → Present
    Schaumburg, IL
Previous Registrations
  • 2010-09-28 → 2025-02-20
    Concourse Financial Group Securities, Inc.
    Sterling Heights, MI
    Troy, MI
    Birmingham, AL
Other Businesses

(dba) OXFORD CAPITAL; Investment Related; 2359 Livernois Rd, Ste 300, Troy, MI 48083; Agent; Start Date 09/1997; 2 hours per month; Life insurance and fixed annuities. >> FIRST HERITAGE INSURANCE; Non-Investment Related; 2359 Livernois Rd, Ste 300, Troy, MI 48083; Agent; Start Date 03/2007; 20 hours per month; P&C, health, and dental insurance. >> SOLUNPROPERTIES LLC; Non-Investment Related; 2359 Livernois Rd, Ste 300, Troy, MI 48083; Landlord; Start Date 06/2014; 2 hours per month; I own the building that my office is located in; There are two tenants in the building. >> UNIGLOBE TRADE INC; Non-Investment Related; Residence Address; Other; President; Start Date 09/1992; No hours per month; This company is dormant; I just maintain the name. >> OXFORD CAPITAL MANAGEMENT INC; Investment Related; 2359 Livernois Rd, Ste 300, Troy, MI 48083; Accounting; President; Start Date 01/2000; 8 hours per month; Income tax, bookkeeping, and payroll preparation.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-07
S63 Uniform Securities Agent State Law Examination 1997-11-20
  • S65 Uniform Investment Adviser Law Examination
    1999-12-07
  • S63 Uniform Securities Agent State Law Examination
    1997-11-20

View on SEC IAPD

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