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Current Employers
Vantage Financial Group, Inc.

6200 Rockside Road, Cleveland, OH 44131 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2023-10-04
  • OH RA
    APPROVED
    Since 2023-10-04

Branch Locations

6200 Rockside Road, Cleveland, OH 44131 • United States

Cetera Investment Advisers Llc

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2023-06-29
TX RA APPROVED_RES 2023-06-29
  • OH RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED_RES
    Since 2023-06-29

Branch Locations

6200 Rockside Rd, Cleveland, OH 44131 • 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
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
  • 09/2013 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
  • 06/2002 → Present
    Vantage Financial Group
    Westlake, OH
Previous Registrations
  • 2013-03-11 → 2013-09-03
    Walnut Street Securities, Inc.
    Cleveland, OH
Other Businesses

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;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2002-06-28
  • S63 Uniform Securities Agent State Law Examination
    2002-06-28

View on SEC IAPD

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