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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MT | RA | APPROVED | 2023-06-29 |
Branch Locations
550 N. 31St Street Suite 530, Billings, MT 59101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Financial Equity Corporation | Billings | MT | 12/2009 | 04/2022 |
| Cetera Wealth Services, Llc | Billings | MT | 04/2022 | Present |
| Sorrel Horse Llc | Billings | MT | 08/1988 | 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 POSITION/TITLE/RELATIONSHIP: AGENT START DATE: 1/2004 APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: SALES OF LIFE, ANNUITIES AND LONG-TERM CARE; 2. NAME OF OTHER BUSINESS: MONTANA SAFARI CLUB INVESTMENT RELATED: NO ADDRESS: PO BOX 1754, BILLINGS, MT 59103 NATURE OF BUSINESS: NONPROFIT ORGANIZATION FOR THE CONSERVATION OF WILDLIFE, EDUCATION OF THE PEOPLE AND PROTECTION OF HUNTER'S RIGHTS START DATE: 8/2014 POSITION/TITLE/RELATIONSHIP: BOARD MEMBER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: PROVIDING GUIDANCE TO THE BOARD, BOARD ADVISORY; 3. NAME OF OTHER BUSINESS: TOPKNOT LLC INVESTMENT RELATED: NO ADDRESS: 4928 INDIAN RIDGE RD, BILLINGS, MT 59101 NATURE OF BUSINESS: EQUIPMENT RENTAL START DATE: 6/2004 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: GENERAL CURRENTLY ENTITY IS INACTIVE HOWEVER LLC IS ACTIVE, EQUIPMENT RENTAL.; 4. NAME OF OTHER BUSINESS: FFEC WEALTH PARTNERS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: PROVIDE FINANCIAL SERVICES START DATE: 4/2022 POSITION/TITLE/RELATIONSHIP: VP INVESTMENTS APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDING FINANCIAL SERVICES UNDER FFEC 5. NAME OF OTHER BUSINESS: ATARAXIA INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INSURANCE POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT START DATE: 3/2021 APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: INSURANCE AGENT; 6. NAME OF OTHER BUSINESS: SORREL HORSE LLC; INVESTMENT RELATED: NO; ADDRESS: 4539 COULEE DR, BILLINGS, MT 59101; NATURE OF BUSINESS: FARM; START DATE: 8/1988; POSITION/TITLE/RELATIONSHIP: OWNER/MANAGING PARTNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: MANAGING PARTNER, BACK UP TREASURER FOR HORSE FARM - FARMING & WILDLIFE HABITAT;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-01-19 |
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