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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-11-12
  • TX RA
    APPROVED
    Since 2020-11-12

Branch Locations

2629 Plaza Parkway Suite A2, Wichita Falls, TX 76308 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Brooks Financial Services Wichita Falls TX 06/2013 Present
First Allied Securities, Inc. San Diego CA 10/2013 09/2022
First Allied Advisory Services, Inc. Chesterfield MO 05/2014 11/2020
First Allied Advisory Services Schaumburg IL 11/2020 11/2020
Cetera Advisors Llc Wichita Falls TX 09/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 11/2020 Present
  • 06/2013 → Present
    Brooks Financial Services
    Wichita Falls, TX
  • 10/2013 → 09/2022
    First Allied Securities, Inc.
    San Diego, CA
  • 05/2014 → 11/2020
    First Allied Advisory Services, Inc.
    Chesterfield, MO
  • 11/2020 → 11/2020
    First Allied Advisory Services
    Schaumburg, IL
  • 09/2022 → Present
    Cetera Advisors Llc
    Wichita Falls, TX
  • 11/2020 → Present
    Schaumburg, IL
Previous Registrations
  • 2014-05-06 → 2020-11-12
    First Allied Advisory Services, Inc.
    San Diego, CA
    Wichita Falls, TX
  • 2009-09-29 → 2009-11-18
    Wells Fargo Investments, Llc
    Wichita Falls, TX
  • 2007-11-07 → 2009-02-27
    Waddell & Reed
    Wichita Falls, TX
    Lawton, OK
    Colleyville, TX
Other Businesses

1.) BROOKS FINANCIAL SERVICES; EMPLOYEE; START DATE 07/22/2014; 160 HOURS PER MONTH. 2.) KEVIN RIDENOUR - INSURANCE AGENT; INSURANCE; START DATE: 04/05/2017; 160 HOURS PER MONTH 3.) ARCHER CITY COUNTRY CLUB; RETAIL/SALES/STORE; BOARD MEMBER; START DATE 09/01/2017; 4 HOURS PER MONTH. 4.) ARCHER CITY 4b BOARD; BOARD MEMBER; GOVERNMENT/POLITICAL; START DATE 06/21/2021; 4 HOURS PER MONTH.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-02-04
  • S66 Uniform Combined State Law Examination
    2014-02-04
Designations

View on SEC IAPD

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