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Account
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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2024-03-21 |
| TX | RA | APPROVED_RES | 2024-03-21 |
Branch Locations
150A Andover Street Suite 11B, Danvers, MA 01923 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Investors Capital | Lynnfield | MA | 01/2005 | 10/2016 |
| Cetera Advisors Llc | Denver | CO | 10/2016 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | Present |
NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERD LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 8/2016, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF TRADING HOURS PER WEEK: 32.5, POSITION/TITLE/RELATIONSHIP: AGENT, BRIEF DESCRIPTION OF DUTIES: LIFE, HEALTH, ANNUITIES, AND LONG TERM CARE;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-09-22 |
| S63 | Uniform Securities Agent State Law Examination | 2000-03-22 |
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