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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 | 2023-02-23 |
| WA | RA | APPROVED | 2019-02-27 |
Branch Locations
10520 Gravelly Lake Drive Sw, Lakewood, WA 98499 • United States
19707 44Th Ave W Ste 204, Lynnwood, WA 98036 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Farmers Financial Solutions | Bothell | WA | 03/2015 | 12/2018 |
| Farmers | Bothell | WA | 02/2015 | 12/2018 |
| Cetera Financial Specialists Llc | Schaumburg | IL | 02/2019 | Present |
| Robert Hayes | Lakewood | WA | 01/2019 | 12/2020 |
| Woods Insurance Agency | Kenmore | WA | 05/2015 | 12/2020 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 02/2019 | Present |
| Rock Ridge Financial Llc, Dba Rockridge Financial Services; | Lakewood | WA | 06/2019 | Present |
1) NAME OF OTHER BUSINESS: ROCK RIDGE FINANCIAL LLC, DBA ROCKRIDGE FINANCIAL SERVICES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES; START DATE: 06/2019; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES; 2) NAME OF OTHER BUSINESS: LETIP; INVESTMENT RELATED: NO; ADDRESS: 1826 W BROADWAY RD, SUITE 20 MESA, AZ 85202; NATURE OF BUSINESS: BUSINESS REFERRAL GROUP; START DATE: 04/2024; POSITION/TITLE/RELATIONSHIP: SECRETARY; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: PRESENT COMMUNICATIONS FROM HOME OFFICE, UPDATE OUR CHAPTER ROSTER ONLINE, ORGANIZE LUNCHES, ARRANGE BOARD MEETINGS, TAKE MINUTES;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-02-25 |
| S63 | Uniform Securities Agent State Law Examination | 2015-07-01 |
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