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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-06-29 |
| TX | RA | APPROVED | 2023-06-29 |
Branch Locations
16133 Ventura Blvd. Ste 700, Encino, CA 91436 • United States
Sunset Beach,, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Encino | CA | 12/2013 | 12/2022 |
| Cetera Wealth Services, Llc | El Segundo | CA | 12/2022 | Present |
| Compass Financial Advisors | Encino | CA | 01/2014 | 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: 2/2009 APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 2 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE AND HEALTH 2. NAME OF OTHER BUSINESS: FORTUNES FOOL INVESTMENT RELATED: NO ADDRESS: PORTER RANCH, CA 91326 NATURE OF BUSINESS: PASS-THROUGH ENTITY FOR TAX PURPOSES ONLY START DATE: 7/2000 POSITION/TITLE/RELATIONSHIP: SECRETARY APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: SECRETARY; 3. NAME OF OTHER BUSINESS: COMPASS FINANCIAL ADVISORS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: DBA START DATE: 1/2014 POSITION/TITLE/RELATIONSHIP: PRINCIPAL APX NUMBER OF HOURS PER WEEK: 60 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: OWN THIS DBA WITH HUSBAND MARK; 4. NAME OF OTHER BUSINESS: CETERA WEALTH PARTNERS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SERVICING CLIENTS FINANCIAL NEEDS THROUGH ADVISORY AND INSURANCE START DATE: 12/2022 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 60 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: ADVISORY, INSURANCE; 5. NAME OF OTHER BUSINESS: THE LOS ANGELES MARYVALE GUILD; INVESTMENT RELATED: NO; ADDRESS: 3826 GRAND VIEW BLVD, SUITE 66636, LOS ANGELES, CA 90066; NATURE OF BUSINESS: BOARD; START DATE: 1/2026; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 8; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ATTEND BOARD MEETINGS;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-05-04 |
| S63 | Uniform Securities Agent State Law Examination | 2008-07-16 |
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