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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 | 2024-10-15 |
| MD | RA | APPROVED | 2017-03-07 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First United Bank & Trust | Oakland | MD | 06/1983 | Present |
| Cetera Investment Services | St. Cloud | MN | 06/2007 | Present |
| Cetera Investment Advisers | Oakland | MD | 03/2017 | Present |
"1.)FIRST UNITED BANK AND TRUST, RELATIONSHIP MANAGER FOR TRUST ACCOUNTS BUT DOES NOT PLACE TRADES, RECOMMEND TRANSACTIONC, OR MAKE INVEST MENT DECISIONS; 2.)TRUST OFFICER FOR FIRST UNITED INVESTMENT SERVICES;PERFORMING FINANCIAL AND ESTATE PLANNING, DO NOT PROVIDE INVESTMENT ADVICE OR PLACE TRADES. 3.) GARRETT MENTORS BOARD MEMBER/TREASURER NO CHECK WRITING, PRESENT FINANCIAL INFO TO BOARD AND SIGN TAX RETURNS."
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-02-23 |
| S63 | Uniform Securities Agent State Law Examination | 2007-11-07 |
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