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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-06-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Financial Services | Plattsburgh | NY | 06/2007 | 05/2024 |
| Cadaret, Grant & Co., Inc. | Plattsburgh | NY | 06/2007 | 05/2024 |
| Cetera Wealth Services, Llc | El Segundo | CA | 05/2024 | Present |
| Parker Sealcoat & Striping, Llc | Champlain | NY | 03/2013 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 05/2024 | Present |
1. NAME OF OTHER BUSINESS: NICOLE PARKER - RENTAL PROPERTY; INVESTMENT RELATED: NO; ADDRESS: CHAMPLAIN, NY 12919; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 04/2024; POSITION/TITLE/RELATIONSHIP: PROPERTY OWNER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: MOSTLY DURING SUMMER MONTHS WILL PROVIDE ACCOMMODATIONS FOR RENT ON A DAILY SOMETIMES WEEKLY BASIS. I WILL PROVIDE CLEANING AND MAINTENANCE SERVICES AS NEEDED; 2. NAME OF OTHER BUSINESS: NOTARY; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NOTARY; START DATE: 12/2018; POSITION/TITLE/RELATIONSHIP: NOTARY; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: OFFER NOTARY SERVICES TO CLIENTS AND OCCASIONAL WALK INS; 3. NAME OF OTHER BUSINESS: PARKER SEALCOAT & STRIPING, LLC; INVESTMENT RELATED: NO; ADDRESS: CHAMPLAIN, NY 12919; NATURE OF BUSINESS: FAMILY OWNED SEASONAL BUSINESS / SEALCOAT & STRIPING; START DATE: 03/2013; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: MAINTAIN FINANCIALS OF COMPANY, ASSIST WITH SCHEDULING JOBS, WORK ON SEALCOATING JOBS; 4. NAME OF OTHER BUSINESS: FINANCIAL SERVICES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: SECURITIES AND INSURANCE SERVICES; START DATE: 09/2007; POSITION/TITLE/RELATIONSHIP: INDEPENDENT CONTRACTOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: ENGAGE IN SECURITIES AND INSURANCE SERVICES AS AN ADVISOR/AGENT; 5. NAME OF OTHER BUSINESS: NICOLE PARKER; INVESTMENT RELATED: NO; ADDRESS: 110 WEST BAY PLAZA PLATTSBURGH, NY 12901; NATURE OF BUSINESS: REAL ESTATE; START DATE: 12/2024; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: PROPERTY OWNER, COLLECT RENT FOR SHARED OFFICE SPACE; 6. NAME OF OTHER BUSINESS: WEST BAY PLAZA CONDO ASSOCIATION; INVESTMENT RELATED: NO; ADDRESS: 110 WEST BAY PLAZA, PLATTSBURGH, NY 12901; NATURE OF BUSINESS: BOARD; START DATE: 10/2025; POSITION/TITLE/RELATIONSHIP: ELECTED BOARD MEMBER Secretary; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ATTEND MEETINGS AND VOTE ON MATTERS RELATED TO CONDO COMPLEX, take notes and disseminate meeting minutes
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-12-06 |
| S63 | Uniform Securities Agent State Law Examination | 2007-08-18 |
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