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Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-11-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Allied Securities, Inc | San Diego | CA | 11/2011 | 09/2022 |
| Linker Financial Group, Inc. | Fresno | CA | 12/2008 | 07/2021 |
| First Allied Advisory Services, Inc. | Chesterfield | MO | 10/2013 | 11/2020 |
| First Allied Advisory Services | Schaumburg | IL | 11/2020 | 11/2020 |
| Cetera Advisors Llc | Prosper | TX | 09/2022 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 11/2020 | 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: 06/2008; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 4; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 2. PROSPER FINANCIAL SERVICES, LLC; OWNER/CONSULTANT; CONSULTING; START DATE 03/01/2021; 160 HOURS PER MONTH. 3. PROSPER ISD SCHOOL BOARD; BOARD OF TRUSTEES; EDUCATION/TEACHING; START DATE: 05/07/2022; 8 HOURS PER MONTH. 4. NAME OF OTHER BUSINESS: NOTARY PUBLIC COMMISSION; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: NOTARIZING DOCUMENTS ; START DATE: 01/2026; POSITION/TITLE/RELATIONSHIP: NOTARY ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: NOTARIZING DOCUMENTS ; 5. NAME OF OTHER BUSINESS: PROSPER HISTORICAL SOCIETY INVESTMENT RELATED: NO; ADDRESS: 250 W. FIRST PROSPER, TX 75078; NATURE OF BUSINESS: NON PROFIT; START DATE: 01/2026; POSITION/TITLE/RELATIONSHIP: ELECTED BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ASSIST THE HISTORICAL SOCIETY WITH VOLUNTEERING IN COMMUNITY, PRESERVING THE HISTORY OF THE COMMUNITY, VOTING ON ANY ACTION ITEMS THAT REQUIRE BOARD APPROVAL;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-08-05 |
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