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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 | 2024-03-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Investors Capital Corporarion | Lynnfield | MA | 03/2004 | 10/2016 |
| J. Marshall Associates Inc. | Fall River | MA | 02/2000 | Present |
| Cetera Advisors Llc | Denver | CO | 10/2016 | Present |
| Faxon Animal Rescue League | Fall River | MA | 09/2002 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | Present |
1. 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, DISABILITY, ANNUITIES & LONG TERM CARE; 2. NAME OF OTHER BUSINESS: J. MARSHALL ASSOCIATES & J. MARSHALL ASSOCIATES INSURANCE SERVICES INC, INVESTMENT RELATED: YES, ADDRESS: 982 EASTERN AVE FALL RIVER MA 02723, NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES, SECURITIES & INSURANCE, START DATE: 2/2000, APX NUMBER OF HOURS PER WEEK: 30, APX NUMBER OF TRADING HOURS PER WEEK: 30, POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR, BRIEF DESCRIPTION OF DUTIES: MEETS WITH NEW & EXISTING CLIENTS FOR INSURANCE, ANNUITY & SECURITIES 3. NAME OF OTHER BUSINESS: FAXON ANIMAL RESCUE LEAGUE, INVESTMENT RELATED: NO, ADDRESS: 474 DURFEE ST FALL RIVER MA 02720, NATURE OF BUSINESS: FUNDRAISING FOR ANIMAL SHELTER, START DATE: 9/2002, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF TRADING HOURS PER WEEK: 1, POSITION/TITLE/RELATIONSHIP: BOARD OF DIRECTORS, BRIEF DESCRIPTION OF DUTIES: ATTEND MEETING AND ORGANIZE FUNDRAISING ACTIVITIES; 4. NAME OF OTHER BUSINESS: ROTARY CLUB OF FALL RIVER; INVESTMENT RELATED: NO; ADDRESS: 66 STATE RD WESTPORT, MA 02790; NATURE OF BUSINESS: NON PROFIT; START DATE: 7/2022; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK:2 ; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: BOARD MEMBER;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-10-11 |
| S63 | Uniform Securities Agent State Law Examination | 2000-06-02 |
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