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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2023-06-29 |
| TX | RA | APPROVED | 2023-06-29 |
Branch Locations
154 Exchange St, Pendleton, SC 29670 • United States
Clemson, SC • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Wealth Services, Llc | El Segundo | CA | 07/2016 | Present |
| Carroll Financial Associates, Inc. | Pendleton | SC | 02/2018 | 09/2018 |
| 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: 06/2016 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES AND LONG TERM CARE 2. NAME OF OTHER BUSINESS: ACI FINANCIAL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 06/2015 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: VICE PRESIDENT - FINANCIAL SERVICES 3. NAME OF OTHER BUSINESS: ALBERT M CAMPBELL III; INVESTMENT RELATED: NO; ADDRESS: ESSEX DR CLEMSON, SC 29631; NATURE OF BUSINESS: RENTAL HOUSE; START DATE: 6/2021; POSITION/TITLE/RELATIONSHIP: CO-OWNER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: HOUSE UPKEEP AND MAINTENANCE, COLLECT RENT; 4.NAME OF OTHER BUSINESS: CLARENDON HALL HOA; INVESTMENT RELATED: NO; ADDRESS: 104 WYNTUCK CT CLEMSON, SC 29631 NATURE OF BUSINESS: NON PROFIT; START DATE: 6/2021; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: ATTEND MEETINGS AND DISCUSS NEIGHBORHOOD ISSUES; 5. NAME OF OTHER BUSINESS: COMMUNITY FOUNDATION OF GREATER CLEMSON, INVESTMENT RELATED: NO, ADDRESS: FRONTAGE ROAD, SUITE B, CLEMSON, SC 29631, NATURE OF BUSINESS: NON-PROFIT, START DATE: 02/2024, POSITION/TITLE/RELATIONSHIP: BOARD MEMBER, APX NUMBER OF HOURS PER WEEK: 5, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: GENERAL BOARD MEMBER DUTIES;
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2022-06-21 |
| S66 | Uniform Combined State Law Examination | 2007-09-17 |
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