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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-04-22 |
| MN | RA | APPROVED | 2016-04-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Winona National Bank | Winona | MN | 04/2016 | Present |
| Cetera Investment Advisers Llc | Winona | MN | 04/2016 | Present |
| Cetera Investment Services Llc | St.CLoud | MN | 04/2016 | Present |
1.) WNB FINANCIAL, BANK REFERRAL PROGRAM 2.) FINANCE COMMITTEE FOR THE DIOCESE OF ROCHESTER-WINONA PRIEST PENSION FUND, REVIEWS REPORTS FROM INVESTMENT MANAGER ON THE INVESTMENTS, ALLOCATIONS AND PERFORMANCE, DOES NOT PLACE OR HANDLE SECURITIES TRANSACTIONS NOR RECOMMEND SPECIFIC SECURITIES TRANSACTIONS NOR MAKE INVESTMENT DECISIONS, LESS THAN 1/HR/WK; 3.) SIT ON BOARD OF DIRECTORS FOR COTTER SCHOOLS AND SERVE ON THE OPERATIONAL VITALITY COMMITTEE; 1 HR/WK
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-02-21 |
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