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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-05-04 |
| VA | RA | APPROVED | 2019-06-19 |
Branch Locations
140 Eastshore Dr Suite 105, Glen Allen, VA 23059 • United States
Midlothian, VA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Investors Corporation | Glen Allen | VA | 05/2011 | 06/2019 |
| First Investors Advisory Services Llc | Glen Allen | VA | 08/2015 | 06/2019 |
| The Shave Duck Restaurant Llc | Midlohian | VA | 01/2017 | 08/2023 |
| Cetera Investment Advisers Llc | Glen Allen | VA | 06/2019 | Present |
| Cetera Investment Services Llc | St. Cloud | MN | 06/2019 | Present |
1. MANAGING MEMBER OF WEALTH CYCLE ADVSIORS, LLC; DBA FOR CETERA BUSINESS. 2. BOARD MEMBER AND TREASURER FOR NEST ACADEMY RVA, ATTEND BOARD MEETINGS, COMMUNICATE WITH CPA, REVIEW REPAIRS, DISCUSS WITH OTHER BOARD MEMBERS, PROMOTE ORGANIZATION, DOES NOT HAVE ACCESS TO BANK ACCOUNTS, DOES NOT HAVE CHECK WRITING PRIVILEGES, 0-1/HRS/WK; 3. JAMES KMETZ FINANCIAL LLC, FOR TAX PURPOSES ONLY, 100% OWNER
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-08-24 |
| S63 | Uniform Securities Agent State Law Examination | 2011-07-07 |
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