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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-08-28 |
Branch Locations
21 Bennetts Rd Suite 201, Setauket, NY 11733 • United States
21 Bennetts Road Suite 201, Setauket, NY 11733 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-08-17 |
Branch Locations
21 Bennetts Road Suite 201, Setauket, NY 11733 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Michael J. Brescia P.C. | Setauket | NY | 05/2009 | Present |
| Cetera Advisor Networks | El Segundo | CA | 08/2020 | 11/2022 |
| Branch Financial Services, Inc. | Setauket | NY | 07/2021 | 10/2022 |
| Branch Financial Services, Inc. | Setauket | NY | 08/2023 | Present |
| Ny State Attorney General'S Office-Trust And Estates Division | New York | NY | 11/2022 | 08/2023 |
| Cetera Wealth Services, Llc D/B/A Cetera Advisor Network | El Segundo | CA | 08/2023 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 08/2023 | Present |
1.NAME OF OTHER BUSINESS: BRANCH FINANCIAL SERVICES, INC. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISOR REPRESENTATIVE START DATE: 08/2023 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: INVESTMENT ADVISOR REPRESENTATIVE AND FINANCIAL PLANNER. 2. NAME OF OTHER BUSINESS: MICHAEL J. BRESCIA, P.C. INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: LEGAL START DATE: 05/2009 POSITION/TITLE/RELATIONSHIP: PRESIDENT APX NUMBER OF HOURS PER WEEK: 4 APX NUMBER OF HOURS DURING TRADING HOURS: NONE BRIEF DESCRIPTION OF DUTIES: ESTATE PLANNING; 3. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 8/2023; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE & FIXED ANNUITIES; 4. CETERA WEALTH SERVICES, LLC D/B/A CETERA ADVISOR NETWORK Investment Related Registered Location Broker Dealer Registered Representative 8/2023 APX # hours/mo: 0 APX # hours/mo/during training: 0 Holistic Investing 5. CETERA INVESTMENT ADVISERS LLC Investment Related Registered Location Investment Advisory Investment Advisor Representative 8/2023 APX # hours/mo : 0 APX # hours/mo/during trading: 0 Holistic Investing
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-06-18 |
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