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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AR | RA | APPROVED | 2016-11-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Regions Bank | Little Rock | AR | 05/2006 | Present |
| Cetera Investment Services | St Cloud | MN | 11/2016 | Present |
| Cetera Investment Advisers Llc | Little Rock | AR | 11/2016 | Present |
1. BANK EMPLOYEE AT REGIONS BANK, GENERAL CUSTOMER SERVICE DUTIES REGARDING BANK PRODUCTS. 2. PRESIDENT OF XI EDUCATIONAL FOUNDATION OF ARKANSAS, PROVIDING EDUCATIONAL ASSISTANCE TO COLLEGE STUDENTS, NO SECURITIES CLIENTS, 2 HRS PER WEEK,NO COMP.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-06-30 |
| S63 | Uniform Securities Agent State Law Examination | 1998-07-07 |
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