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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OR | RA | APPROVED | 2023-06-29 |
| TX | RA | APPROVED | 2023-06-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| D.A. Davidson & Co. | Roseburg | OR | 04/2010 | 02/2018 |
| Cetera Wealth Services, Llc | El Segundo | CA | 02/2018 | Present |
| Douglas County | Douglas County | OR | 01/2021 | Present |
| River Ranch Camp Ground | Roseburg | OR | 01/2023 | 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: 02/2018 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELL LIFE, ANNUITIES AND LONG TERM CARE 2. NAME OF OTHER BUSINESS: L3 RANCH INVESTMENT RELATED: NO ADDRESS: ROSEBURG OR NATURE OF BUSINESS: RANCHING START DATE: 01/1990 POSITION/TITLE/RELATIONSHIP: CO-OWNER APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: RAISE CATTLE AND SHEEP 3.NAME OF OTHER BUSINESS: WESTERN FINANCIAL INC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INVESTMENT & ADVISORY SERVICES START DATE: 2/2018 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 POSITION/TITLE/RELATIONSHIP: SECRETARY BRIEF DESCRIPTION OF DUTIES: DBA 4. NAME OF OTHER BUSINESS: DOUGLAS COUNTY INVESTMENT RELATED: NO, ADDRESS: 1036 S.E. DOUGLAS AVE, ROSEBURG, OR, 97470 NATURE OF BUSINESS: LOCAL GOVERNMENT, START DATE:01/2021, POSITION/TITLE/RELATIONSHIP: TREASURER, APX NUMBER OF HOURS PER WEEK: 5, MAY BE TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: OVERSIGHT OF FIXED INCOME PORTFOLIO; 5. NAME OF OTHER BUSINESS: RIVER RANCH CAMP GROUND; INVESTMENT RELATED: NO; ADDRESS: 6165 N BANK RD, ROSEBURG, OR 97470; NATURE OF BUSINESS: CAMP GROUND; START DATE: 1/2023; POSITION/TITLE/RELATIONSHIP: PARTIAL OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: PARTIAL OWNER OF CAMP GROUND;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-07-17 |
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