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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_RES | 2023-03-06 |
| AZ | RA | APPROVED | 2022-11-28 |
Branch Locations
1702 E. Highland Ave Suite 204, Phoenix, AZ 85016 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Foresters Financial | Seattle | WA | 07/2010 | 08/2018 |
| Foresters Advisory Services Llc | Seattle | WA | 03/2013 | 08/2018 |
| Penn Mutual Life Insurance Company | Horsham | PA | 08/2018 | 10/2020 |
| Hornor, Townsend & Kent, Inc. | Horsham | PA | 08/2018 | 10/2020 |
| Royal Alliance | Bellevue | WA | 10/2020 | 11/2022 |
| Cetera Investment Services Llc | Saint Cloud | MN | 11/2022 | Present |
| Cetera Investment Advisers Llc | Phoenix | AZ | 11/2022 | Present |
1. ARIZONA CAPITAL MANGEMENT; DBA FOR CETERA BUSINESS
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-03-04 |
| S63 | Uniform Securities Agent State Law Examination | 2004-07-10 |
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