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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 | 2024-03-21 |
| TX | RA | APPROVED_RES | 2024-03-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Gold River | CA | 10/2015 | 10/2016 |
| Bank Of America, N.A. | Gold River | CA | 10/2015 | 10/2016 |
| Nationwide Investment Services Corporation | Sacramento | CA | 10/2016 | 08/2018 |
| Cetera Advisors Llc | Denver | CO | 08/2018 | Present |
| Glh & C | Citrus Heights | CA | 08/2018 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | Present |
(1) GLH & C, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 08/2018, SALARIED ASSOCIATE APX NUMBER OF HOURS PER WEEK: 40, 32.5 DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES (2) N/A, NOT INVESTMENT RELATED, NORTH HIGHLANDS, CA 95660, REAL ESTATE, STARTED 09/2017, POSITION/TITLE/RELATIONSHIP: OWNER, APX 1 HOURS PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: LANDLORD AND PROPERTY MANAGER (3) NAME OF OTHER BUSINESS: N/A ; INVESTMENT RELATED: NO ; SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: NOTARIAL DUTIES ; POSITION/TITLE/RELATIONSHIP: NOTARY ; STARTED 04/2019 ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; BRIEF DESCRIPTION OF DUTIES: NOTARIZE DOCUMENTS FOR CLIENTS OF THE OFFICE ; 4. NAME OF OTHER BUSINESS: N/A; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 6/2024; POSITION/TITLE/RELATIONSHIP: OWNER/LANDLORD; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: LANDLORD AND PROPERTY MANAGER;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-08-30 |
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