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Current Employers
Cetera Investment Advisers Llc

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

Current Registrations

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

Branch Locations

3412 June Drive, Mckinney, TX 75070 • United States

Mckinney, TX • 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
Lpl Financial Frederick CO 02/2014 03/2020
Cetera Wealth Services, Llc Mckinney TX 03/2020 Present
Towerhouse Financial Mckinney TX 02/2014 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 02/2014 → 03/2020
    Lpl Financial
    Frederick, CO
  • 03/2020 → Present
    Cetera Wealth Services, Llc
    Mckinney, TX
  • 02/2014 → Present
    Towerhouse Financial
    Mckinney, TX
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2014-02-14 → 2020-03-13
    Frederick, CO
    Golden, CO
    Mckinney, TX
  • 2008-01-09 → 2014-02-20
    Longmont, CO
    Firestone, CO
Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE APX NUMBER OF HOURS PER WEEK: MINIMAL APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: LIFE, ANNUITIES AND LONG-TERM CARE 2. NAME OF OTHER BUSINESS: TOWERHOUSE FINANCIAL INVESTMENT RELATED: YES ADDRESS: : SAME AS REGISTERED LOCATION NATURE OF BUSINESS: DBA BRAND NAME FOR INVESTMENT PRACTICE START DATE: 2014 POSITION/TITLE/RELATIONSHIP: PRESIDENT/OWNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: DBA BRAND NAME FOR INVESTMENT PRACTICE. WILL USE NAME IN ADVERTISING AND SALES LITERATURE WITH CLIENTS AND THE PUBLIC.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-01-07
S63 Uniform Securities Agent State Law Examination 2002-10-18
  • S66 Uniform Combined State Law Examination
    2008-01-07
  • S63 Uniform Securities Agent State Law Examination
    2002-10-18

View on SEC IAPD

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