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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2024-03-21 |
| TX | RA | APPROVED_RES | 2024-03-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pacific West Securities, Inc. | Renton | WA | 07/2006 | Present |
| Cetera Advisors Llc | Denver | CO | 01/2013 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | Present |
1. MONTGOMERY WEALTH MANAGEMENT, FIXED INSURANCE AND SECURITIES BUSINESS. 2. NAME OF OTHER BUSINESS: MONEY SMARTS SCHOOL OF FINANCE FOR CHILDREN; INVESTMENT RELATED: NO; ADDRESS: P.O. BOX 8324, ST. LOUIS, MO 63132; NATURE OF BUSINESS: NON-PROFIT ORGANIZATION; START DATE: 07/2016; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 2 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: HELP DEVELOP CURRICULUM, PLAN ACTIVITIES, AND STRATEGIZE GROWTH.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-06-09 |
| S63 | Uniform Securities Agent State Law Examination | 2002-06-25 |
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