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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2023-06-29 |
| TX | RA | APPROVED | 2023-06-29 |
Branch Locations
6200 Rockside Rd, Cleveland, OH 44131 • United States
Northfield, OH • United States
6200 Rockside Road, Cleveland, OH 44131 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| LA | RA | APPROVED | 2022-06-27 |
| TX | RA | APPROVED_RES | 2014-03-03 |
| OH | RA | APPROVED | 2011-09-15 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-06-30 |
| S63 | Uniform Securities Agent State Law Examination | 2009-11-09 |
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