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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2023-06-29 |
| TX | RA | APPROVED | 2023-06-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Wealth Services, Llc | El Segundo | CA | 01/2013 | Present |
| Gba Financial | Rochester | IL | 05/2016 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1. FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, FIXED INSURANCE, START 11/19/2014, 2HRS/WK (TRADING HOURS), INSURANCE AGENT - SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, AND LONG-TERM CARE; 2. NAME OF OTHER BUSINESS: DBA GBA FINANCIAL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 05/01/2016 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40 HOURS APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: TAX PREPARATION & SELLING OF INSURANCE. 3. NOTARY, NOT INVESTMENT RELATED, SAME AS REGISTERED LOCATION, NOTARY, STARTED 05/2015, HOUR PER WEEK VARY, PROVIDE NOTARIZATIONS FOR CLIENTS AS ADDED SERVICE. 4. NAME OF OTHER BUSINESS: PAUL & JENNY FOSTER, INVESTMENT RELATED: NO, ADDRESS: 217 W FREDERICK ST, ARENZVILLE, IL 62611, NATURE OF BUSINESS: REAL ESTATE, START DATE: 10/2024, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 1, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: PLANNING TO RENT OUT THE SPACE. RESPONSIBLE FOR REPAIRS, ETC.;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-02-26 |
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