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6200 Rockside Road, Cleveland, OH 44131 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2023-10-04 |
Branch Locations
1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2023-06-29 |
| TX | RA | APPROVED_RES | 2023-06-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Wealth Services, Llc | El Segundo | CA | 09/2013 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
| Vantage Financial Group | Westlake | OH | 06/2002 | Present |
1) INDEPENDENT INSURANCE AGENT (FIXED ANNUITIES) 0 HOURS WEEKLY, START DATE 3/13 2) NAME OF OTHER BUSINESS: DBA VANTAGE FINANCIAL GROUP ININVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED ADDRESS NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 01/2013 POSITION/TITLE/RELATIONSHIP: BUSINESS DEVELOPMENT DIRECTOR/RR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOU32.5 BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES 3)NAME OF OTHER BUSINESS: 6200 ROCKSIDE ROAD LLC ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: BUILDING OWNERSHIP ; START DATE: 01/2015 ; POSITION/TITLE/RELATIONSHIP: CO-OWNER ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; BRIEF DESCRIPTION OF DUTIES: LLC OWNS THE BUILDING THAT VANTAGE FINANCIAL GROUP LEASES ; 4) NAME OF OTHER BUSINESS: WESTLAKE OHIO CITY SCHOOLS; INVESTMENT RELATED: NO; ADDRESS: 1365 QUEEN ANNE'S GATE WESTLAKE OH 44145; NATURE OF BUSINESS: YOUTH SPORTS COACH; START DATE: 10/2021; POSITION/TITLE/RELATIONSHIP: COACH; APX NUMBER OF HOURS PER WEEK: 8; APX NUMBER OF HOURS DURING TRADING HOURS: 8; BRIEF DESCRIPTION OF DUTIES: YOUTH BASKETBALL COACH; 5) NAME OF OTHER BUSINESS: VANTAGE FINANCIAL GROUP - CRD# 105950; INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADVISORY SERVICES POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE; START DATE: 4/2023; APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: ASSET MANAGEMENT;
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2002-06-28 |
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