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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 | 2024-09-10 |
| KY | RA | APPROVED | 2020-11-12 |
Branch Locations
2011 Lake Point Way #101, Louisville, KY 40223 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ohio University | Athens | OH | 08/2014 | Present |
| First Allied Advisory Services, Inc. | Chesterfield | MO | 08/2015 | 11/2020 |
| First Allied Securities Inc. | San Diego | CA | 05/2015 | 09/2022 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 11/2020 | Present |
| Cetera Advisors Llc | Lousiville | KY | 09/2022 | Present |
1.) DAVIS FINANCIAL SERVICES, INC; INDEPENDENT CONTRACTOR; DBA; START DATE 05/18/2015; 160 HOURS PER MONTH. 2.) INSURANCE; AGENT; INSURANCE; START DATE 08/12/2015; 160 HOURS PER MONTH. 3.) DAVIS, MAYFIELD AND ASSOCIATES; DBA; FINANCIAL PLANNER; START DATE: 08/16/2017; 160 HOURS PER MONTH. 4.) DFS TAX LLC; VICE PRESIDENT; NON-CPA ACCOUNTING AND/OR TAX PREPARATION; START DATE: 01/01/2020; 40 HOURS PER MONTH.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-08-13 |
| S63 | Uniform Securities Agent State Law Examination | 2015-07-02 |
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