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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
16742 Bayview Dr, Sunset Beach, CA 90742 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fortune'S Fool | Encino | CA | 12/1989 | Present |
| Lpl Financial Llc | Sherman Oaks | CA | 01/2014 | 12/2022 |
| Cetera Wealth Services, Llc | El Segundo | CA | 12/2022 | Present |
| Mark Deakins - Actor | Porter Ranch | CA | 12/2022 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1. NAME OF OTHER BUSINESS: FORTUNE'S FOOL; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL ADDRESS; NATURE OF BUSINESS: PASS-THROUGH ENTITY FOR TAX PURPOSES ONLY; START DATE: 07/2000; POSITION/TITLE/RELATIONSHIP: PRESIDENT/CEO APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: PRESIDENT AND SOLE OWNER OF THIS S-CORPORATION; 2. NAME OF OTHER BUSINESS: MARK DEAKINS - ACTOR INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL ADDRESS NATURE OF BUSINESS: ACTOR; START DATE: 01/1987; POSITION/TITLE/RELATIONSHIP: ACTOR; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: PERFORM ON STAGE, ON CAMERA, AND WITH VOICE; 3. NAME OF OTHER BUSINESS: COMPASS FINANCIAL ADVISORS INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 01/2014; POSITION/TITLE/RELATIONSHIP: PRINCIPLE; APX NUMBER OF HOURS PER WEEK: 60; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: RESPONSIBLE FOR DAILY OPERATIONS AND GROWTH. 4. NAME OF OTHER BUSINESS: CETERA WEALTH PARTNERS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; 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: FINANCIAL SERVICES;
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2011-11-22 |
| S65 | Uniform Investment Adviser Law Examination | 2011-09-01 |
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