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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 | 2024-03-21 |
| WA | RA | APPROVED | 2024-03-21 |
Branch Locations
420 N Evergreen Rd Suite 500, Spokane Valley, WA 99216 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Financial Network | San Diego | CA | 03/2014 | 05/2019 |
| Cetera Advisors Llc | Denver | CO | 05/2019 | Present |
| Core Financial Group | Spokane Valley | WA | 03/2014 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | Present |
1. NAME OF OTHER BUSINESS: CORE FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR INSURNACE & FINANCIAL SERVICES; START DATE: 03/2014; POSITION/TITLE/RELATIONSHIP: OWNER / FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: PROVIDE SERVICES FOR INVESTMENT AND INSURANCE CLIENTS; 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 7/2020; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS HEALTH INSURANCE;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-02-07 |
| S63 | Uniform Securities Agent State Law Examination | 2006-12-11 |
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