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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2023-06-29
TX RA APPROVED 2023-06-29
  • OH RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED
    Since 2023-06-29

Branch Locations

6200 Rockside Rd, Cleveland, OH 44131 • United States

Northfield, OH • United States

Vantage Financial Group, Inc.

6200 Rockside Road, Cleveland, OH 44131 • United States

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2022-06-27
TX RA APPROVED_RES 2014-03-03
OH RA APPROVED 2011-09-15
  • LA RA
    APPROVED
    Since 2022-06-27
  • TX RA
    APPROVED_RES
    Since 2014-03-03
  • OH RA
    APPROVED
    Since 2011-09-15

Branch Locations

6200 Rockside Road, Cleveland, OH 44131 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Vantage Financial Group, Inc. Cleveland OH 07/2011 Present
Cetera Wealth Services, Llc El Segundo CA 09/2013 Present
Brecksville Place Condo Association Brecksville OH 08/2021 01/2022
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Previous Registrations
  • 2011-04-12 → 2013-09-03
    Walnut Street Securities, Inc.
    Cleveland, OH
Other Businesses

1. INDEPENDENT INSURANCE AGENT, VANTAGE FINANCIAL GROUP, INC, FIXED ANNUITIES, LIFE/ACCIDENT/HEALTH, FOR 10HRS/WK & 10 HRS EVENING & WKENDS, SINCE 01/2011; 2. NAME OF OTHER BUSINESS: NATIONAL ASSOCIATION OF INSURANCE & FINANCIAL ADVISORS INVESTMENT RELATED: NO ADDRESS: PO BOX 31416 INDEPENDENCE OH 44131 NATURE OF BUSINESS: NAIFA CLEVELAND - PROVIDE INDUSTRY PROGRAMS & SUPPORT START DATE: 4/2017 APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 2 POSITION/TITLE/RELATIONSHIP: PRESIDENT BRIEF DESCRIPTION OF DUTIES: GENERAL DUTIES 3. NAME OF OTHER BUSINESS: ORIA VANTAGE FINANCIAL GROUP, INC.; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: ADVISORY BUSINESS; POSITION/TITLE/RELATIONSHIP: ADVISORY REPRESENTATIVE; START DATE: 01/2011; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING, ASSET MANAGEMENT; 4. NAME OF OTHER BUSINESS: VANTAGE FINANCIAL GROUP, INC.; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES; START DATE: 01/2011; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-06-30
S63 Uniform Securities Agent State Law Examination 2009-11-09
  • S65 Uniform Investment Adviser Law Examination
    2011-06-30
  • S63 Uniform Securities Agent State Law Examination
    2009-11-09

View on SEC IAPD

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