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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KS | 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 | 05/2015 | Present |
| 740 Event, Llc | Wichita | KS | 10/2021 | 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 03/2015, 4HRS/WK (TRADING HOURS), INSURANCE AGENT - SELLS LIFE, DISABILITY, AND LONG-TERM CARE; (2) GOUGH FINANCIAL GROUP, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, DBA NAME FOR FINANCIAL SERVICES, START 03/2015, 40HRS/WK (32.5 TRADING HOURS), SALES OF INVESTMENTS, INSURANCE, & FINANCIAL PLANNING; (3) NAME OF OTHER BUSINESS: FINANCIAL PLANNING ASSOCIATION, WICHITA CHAPTER ; INVESTMENT RELATED: NO ADDRESS: 530 TOPEKA ST, WICHITA, KS 67201 ; NATURE OF BUSINESS: FINANCIAL PLANNING ASSOCIATION ; START DATE: 09/2021 ; POSITION/TITLE/RELATIONSHIP: MEMBER ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; BRIEF DESCRIPTION OF DUTIES: ATTEND MEETINGS AND LEARN FROM ADVISORS IN OUR REGION ; (4) NAME OF OTHER BUSINESS: METRO EAST BAPTIST CHURCH ; INVESTMENT RELATED: NO ; ADDRESS: 333 M 143RD ST E, WICHITA KS 67230 ; NATURE OF BUSINESS: CHURCH ; START DATE: 01/2022 ; POSITION/TITLE/RELATIONSHIP: DEACON ; APX NUMBER OF HOURS PER WEEK: 5 ; APX NUMBER OF HOURS DURING TRADING HOURS: 5 ; BRIEF DESCRIPTION OF DUTIES: ASSIST AT CHURCH WITH OTHER PARTITIONERS ; (5) NAME OF OTHER BUSINESS: 740 EVENT, LLC INVESTMENT RELATED: NO, ADDRESS: 740 W 2ND ST, STE 200, WICHITA, KS, 67203, NATURE OF BUSINESS: EVENT RENTAL SPACE, START DATE: 10/2021, POSITION/TITLE/RELATIONSHIP: PARTNER, APX NUMBER OF HOURS PER WEEK: 1, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: MANAGE RENTALS, EQUIPMENT AND FURNITURE AS NEEDED;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-07-03 |
| S63 | Uniform Securities Agent State Law Examination | 2012-06-01 |
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