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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 | 2018-11-21 |
Branch Locations
800 Roosevelt Rd Suite E-120, Glen Ellyn, IL 60137 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| King & Moran, Ltd | Glen Ellyn | IL | 01/2008 | Present |
| Cetera Financial Specialists | Schaumburg | IL | 08/2016 | 11/2018 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 11/2018 | Present |
| Cetera Financial Specialists Llc | Schaumburg | IL | 11/2018 | Present |
NAME OF OTHER BUSINESS: KING & MORAN, LTD, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: ACCOUNTING/CPA/TAX FIRM, START DATE: 2/2007, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF TRADING HOURS PER WEEK: 32.5, POSITION/TITLE/RELATIONSHIP: REGISTERED REP ASSISTANT
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-11-20 |
| S63 | Uniform Securities Agent State Law Examination | 2018-08-06 |
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