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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-06-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-01-07 |
| S63 | Uniform Securities Agent State Law Examination | 2002-10-18 |
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