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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2023-06-29 |
| TX | RA | APPROVED | 2023-06-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mayo Clinic | Rochester | MN | 09/1984 | 12/2016 |
| Cetera Wealth Services, Llc | El Segundo | CA | 03/2016 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
| Mayo Employees Federal Credit Union | Rochester | MN | 06/2016 | Present |
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 11/2016 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 POSITION/TITLE/RELATIONSHIP: AGENT BRIEF DESCRIPTION OF DUTIES: SELLING LIFE, ANNUITIES, & LONG TERM CARE; 2. NAME OF OTHER BUSINESS: MAYO EMPLOYEES FEDERAL CREDIT UNION; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: CREDIT UNION; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; START DATE: 6/2016; APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: FEDERAL CREDIT UNION DBA FOR FINANCIAL SERVICES;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-06-01 |
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