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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 | 2023-01-18 |
| IA | RA | APPROVED | 2016-09-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| American State Bank | Sioux Center | IA | 06/2014 | Present |
| Cetera Investment Services Llc | St. Cloud | MN | 07/2014 | Present |
| Cetera Investment Advisors | Sioux Center | IA | 09/2016 | Present |
1.)KIWANIS MEMBER, SIOUX CENTER CHAMBER- BOTH ARE 1/2 HR WEEK/0 COMPENSATION, COMMUNITY SERVICE. 2.)BOARD MEMBER OF SIOUX CENTER CHRISTIAN SCHOOL; HELPING CREATE A PLAN FOR FOUNDATION'S GROWTH, HELPING CREATE AN INVESTMENT POLICY STATEMENT WITH ASSET ALLOCATION GUIDELINES; WILL NOT MAKE INVESTMENT DECISIONS OR PLACE OR HANDLE SPECIFIC SECURITIES TRANSACTIONS OR RECOMMNED SPECIFIC SECURITIES. 3.) HOMESTEAD BOARD MEMBER. HELP PLAN FOR SIOUX CENTER LOW INCOME HOUSING. 4.) DEFENDER CAPITAL MANAGEMENT, BOARD MEMBER, 1/HR/WK
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2013-06-03 |
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