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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2023-06-29 |
| TX | RA | APPROVED_RES | 2023-06-29 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Voya Financial Advisors | Marquette | MI | 09/2014 | 06/2021 |
| Cetera Wealth Services, Llc | El Segundo | CA | 06/2021 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1) NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 811 PINE STREET; MARQUETTE; MI; 49855; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 4/20/2010; 160; 160; SALES OF FIXED INSURANCE PRODUCTS 2) NAME OF ENTITY: Wednesday River Rock Dbles; No; 811 Pine St; Marquette; MI; 49855; Bowling League; League President; 9/11/2019; 1; 0; Ensure league funds are deposited by the league treasurer and all required reports and records are maintained by the league secretary 3) NAME OF OTHER BUSINESS: MARQUETTE AMERICAN LEGION BASEBALL INVESTMENT RELATED: NO, ADDRESS: 700 E BLUFF ST, MARQUETTE, MI 49855, NATURE OF BUSINESS: SPORTS, START DATE: 10/2023, POSITION/TITLE/RELATIONSHIP: EXECUTIVE TRUSTEE, APX NUMBER OF HOURS PER WEEK: 1, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: OVERSIGHT OF THE ORGANIZATION TO ENSURE COMPLIANCE WITH ALL APPLICABLE STATE AND FEDERAL REGULATIONS.;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-07-29 |
| S63 | Uniform Securities Agent State Law Examination | 1998-03-12 |
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