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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2024-03-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Advisors, Llc | Denver | CO | 01/2017 | 05/2022 |
| E.M Winters Financial | Washington | NJ | 01/2014 | 12/2016 |
| First Allied Securities, Inc. | San Diego | CA | 02/2015 | 05/2022 |
| Unemployed | Phillipsburg | NJ | 05/2022 | 07/2022 |
| Em Winters Financial Services | Phillipsburg | NJ | 07/2022 | Present |
| Cetera Advisors | St. Cloud | MN | 07/2022 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | Present |
1. NAME OF OTHER BUSINESS: EM WINTERS FINANCIAL SERVICES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 07/2022, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 30, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-10-13 |
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