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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 |
Branch Locations
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 |
|---|---|---|---|---|
| Raymond James Financial Services,Inc | Orville | CA | 01/2011 | 07/2019 |
| Cetera Wealth Services, Llc | El Segundo | CA | 09/2019 | Present |
| David Neilsen & Associates Inc | Oroville | CA | 03/2014 | Present |
| Summit Financial Group, Inc. | Boca Raton | FL | 09/2019 | 05/2021 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
(1) NAME OF OTHER BUSINESS: DAVID NEILSEN & ASSOC. INC. ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: S-CORP ; START DATE: 03/2014 ; POSITION/TITLE/RELATIONSHIP: OWNER / PRINCIPAL ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: PASS THROUGH ENTITY FOR TAX PURPOSES ;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-08-22 |
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