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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 | 2024-04-20 |
| IL | RA | APPROVED | 2024-03-21 |
Branch Locations
3923 West 95Th Street, Evergreen Park, IL 60805 • United States
15321 S 94Th Ave Ste 100, Orland Park, IL 60462 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Country Capital Management Company | Bloomington | IL | 04/2016 | 10/2019 |
| Chicago Park District | Chicago | IL | 06/2005 | 10/2024 |
| Winters Insurance Llc | Chicago | IL | 11/2019 | 02/2022 |
| Cetera Advisors | St Cloud | MN | 01/2022 | 04/2022 |
| Cetera Advisors Llc | St Cloud | MN | 04/2022 | Present |
| Winters Insurance Agency | Chicago | IL | 07/2019 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | Present |
1. NAME OF OTHER BUSINESS: MEGENT FINANCIAL, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 03/2022, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 20, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2. NAME OF OTHER BUSINESS: WINTERS INSURANCE AGENCY, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: EXPENSE MANAGEMENT, START DATE: 07/2019, POSITION/TITLE/RELATIONSHIP: OWNER, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: USED FOR TAX HARBORING, TAX PURPOSES ONLY; 3. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 9/2022; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE;
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2022-05-11 |
| S65 | Uniform Investment Adviser Law Examination | 2022-03-08 |
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