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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2023-06-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Wealth Services, Llc | El Segundo | CA | 01/2013 | 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 START DATE: 11/29/12 APX NUMBER OF HOURS PER WEEK: 40 HOURS APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE 2. NAME OF OTHER BUSINESS: L.M. WHITNEY & ASSOCIATES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: DBA START DATE: 1/1/13 POSITION/TITLE/RELATIONSHIP: FINANCIAL PLANNER & CONSULTANT APX NUMBER OF HOURS PER WEEK: 50 HOURS APX NUMBER OF HOURS DURING TRADING HOURS: N/A BRIEF DESCRIPTION OF DUTIES: PRINCIPLE, FINANCIAL PLANNING & CONSULTANT TO CLIENTS; 3. NAME OF OTHER BUSINESS: FINANCIAL NETWORK- LARKIN REGION INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES POSITION/TITLE/RELATIONSHIP: AFFILIATED PERSON START DATE: 01/02/2013 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-11-20 |
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