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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2023-06-29 |
| MN | RA | APPROVED | 2023-06-29 |
Branch Locations
4615 E State St, Suite 200, Rockford, IL 61108 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Regulus, Llc | Kentwood | MI | 08/2015 | 03/2023 |
| Rohlik Financial Group | Minneapolis | MN | 09/2015 | Present |
| Regal Investment Advisors, Llc | Kentwood | MI | 07/2018 | 03/2023 |
| Cetera Wealth Services, Llc | El Segundo | CA | 03/2023 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1. NAME OF OTHER BUSINESS: ROHLIK FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 09/2015; POSITION/TITLE/RELATIONSHIP: DIRECTOR OF INVESTMENTS; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 35; BRIEF DESCRIPTION OF DUTIES: REVIEW CLIENT ACCOUNTS, BUILD AND MAINTAIN MODEL PORTFOLIOS, MEET WITH CLIENTS TO REVIEW THEIR ACCOUNTS, AND MAKE CHANGES AS NECESSARY, PROCESS PAPERWORK AND TAKE CLIENT CALLS TO ADDRESS ANY REQUESTS;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-05-17 |
| S63 | Uniform Securities Agent State Law Examination | 2015-09-21 |
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