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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 |
| MO | RA | APPROVED | 2016-08-17 |
Branch Locations
16 S Silver Springs Rd, Cape Girardeau, MO 63703 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Financial Specialists Llc | Schaumburg | IL | 11/2015 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 08/2016 | Present |
| Arnzen & Roe Financial Services, Inc; | Cape Girardeau | MO | 01/2016 | Present |
1) NAME OF OTHER BUSINESS: ARNZEN & ROE FINANCIAL SERVICES, INC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 01/2016; POSITION/TITLE/RELATIONSHIP: REGISTERED REP / INVESTMENT ADVISOR REP; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES, RESEARCH AND ANALYSIS;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-08-13 |
| S63 | Uniform Securities Agent State Law Examination | 2016-08-06 |
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