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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2026-03-17 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Lebanon | TN | 07/2003 | 03/2026 |
| Cetera Advisors Llc | St Cloud | MN | 03/2026 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2026 | Present |
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH HTK Insurance INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 8/2003 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS fixed insurance products 2. NAME OF OTHER BUSINESS: HTK INSURANCE (IMO) INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: Life Insurance START DATE: 3/2003 POSITION/TITLE/RELATIONSHIP: Independent Contractor APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: Life Insurance Sales
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-11-17 |
| S63 | Uniform Securities Agent State Law Examination | 2003-07-22 |
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