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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
11104 West Airport Blvd Ste 102, Stafford, TX 77477 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Us Postal Service | Missouri City | TX | 05/2003 | Present |
| World Financial Group, Inc. | Houston | TX | 10/2015 | Present |
| Gulf Coast Community Services Association | Houston | TX | 01/2008 | Present |
| Cetera Wealth Services, Llc | El Segundo | CA | 06/2016 | 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: 6/2016 APX NUMBER OF HOURS PER WEEK: MINIMAL APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, LONG-TERM CARE, AND PROPERTY AND CASUALTY 2.NAME OF OTHER BUSINESS: PHILIP & ASSOCIATES CPA PC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: TAX, ACCOUNTING, & INSURANCE START DATE: 10/2017 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 50 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: PREPARE TAXES, ACCOUNTING FOR SMALL BUSINESSES, & INSURANCE 3. NAME OF OTHER BUSINESS: GULF COAST COMMUNITY SERVICES ASSOCIATION INVESTMENT RELATED: NO ADDRESS: 9320 KIRBY DRIVE, HOUSTON, TX 77054 NATURE OF BUSINESS: NON-PROFIT ORGANIZATION START DATE: 6/2016 APX NUMBER OF HOURS PER WEEK: 15 APX NUMBER OF HOURS DURING TRADING HOURS: 15 POSITION/TITLE/RELATIONSHIP: CPA BRIEF DESCRIPTION OF DUTIES: CPA HELP 4. NAME OF OTHER BUSINESS: NOTARY PUBLIC COMMISSION; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: NOTARIZING DOCUMENTS ; START DATE: 10/2022; POSITION/TITLE/RELATIONSHIP: NOTARY ; APX NUMBER OF HOURS PER WEEK: VARIES ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: NOTARIZING DOCUMENTS ;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-09-13 |
| S63 | Uniform Securities Agent State Law Examination | 2015-12-30 |
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