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333 S. Wabash Avenue 34Th Floor, Chicago, IL 60604 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2022-05-25 |
Branch Locations
333 South Wabash Avenue 34Th Floor, Chicago, IL 60604 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Advisors Llc | Denver | CO | 01/2007 | 10/2017 |
| Cetera Advisor Networks Llc | El Segundo | CA | 01/2013 | 10/2017 |
| Cetera Investment Services Llc | Saint Cloud | MN | 01/2013 | 10/2017 |
| Cetera Financial Specialists Llc | Schaumburg | IL | 01/2013 | 10/2017 |
| Summit Brokerage Services, Inc. | Boca Raton | FL | 10/2015 | 10/2017 |
| Investors Capital Corp. | Lynnfield | MA | 07/2016 | 11/2016 |
| First Allied Securities, Inc. | San Diego | CA | 12/2016 | 10/2017 |
| Girard Securities, Inc. | San Diego | CA | 08/2017 | 10/2017 |
| Raymond James Financial Services, Inc. | St. Petersburg | FL | 11/2017 | 12/2019 |
| Raymond James Financial Services Advisors Inc. | St. Petersburg | FL | 01/2018 | 12/2019 |
| Raymond James & Associates, Inc | St. Petersburg | FL | 01/2020 | 05/2020 |
| Northern Trust Securities, Inc. | Chicago | IL | 06/2020 | Present |
| Northern Trust Bank | Chicago | IL | 06/2020 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-04-06 |
| S63 | Uniform Securities Agent State Law Examination | 2000-09-25 |
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