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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
KS RA APPROVED 2023-06-29
TX RA APPROVED 2023-06-29
  • KS RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED
    Since 2023-06-29

Branch Locations

740 W 2Nd St Ste. 100, Wichita, KS 67203 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
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
  • 05/2015 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 10/2021 → Present
    740 Event, Llc
    Wichita, KS
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
Other Businesses

(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;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-07-03
S63 Uniform Securities Agent State Law Examination 2012-06-01
  • S65 Uniform Investment Adviser Law Examination
    2012-07-03
  • S63 Uniform Securities Agent State Law Examination
    2012-06-01

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