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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2016-02-24 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Investment Services Llc | St.CLoud | MN | 11/2012 | Present |
| Waukesha State Bank | Waukesha | WI | 06/2011 | Present |
| Cetera Investment Advisers Llc | Waukesha | WI | 02/2016 | Present |
1.) Sale of fixed insurance products through Waukesha State Bank's Insurance agency, 1/hour per month, non-investment related. 2.) REFERRALS TO PRAIRIE TRUST/WAUKESHA STATE BANK WEALTH MANAGEMENT, LESS THAN 1/HR/WK; 3.) NOTARY FOR BANK DOCUMENTS ONLY IN BANK ROLE
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-02-22 |
| S63 | Uniform Securities Agent State Law Examination | 2013-01-29 |
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