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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 | 2026-02-22 |
| NM | RA | APPROVED | 2023-11-02 |
Branch Locations
6100 Seagull St Ste B-208, Albuquerque, NM 87109 • United States
Albuquerque, NM • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Scottsdale | AZ | 06/2021 | 03/2023 |
| Texas Roadhouse | Albuquerque | NM | 02/2017 | 06/2017 |
| University Of New Mexico | Albuquerque | NM | 08/2017 | 05/2021 |
| Volcano Vista High School | Albuquerque | NM | 08/2013 | 05/2017 |
| Unemployed | Albuquerque | NM | 04/2023 | 10/2023 |
| Cetera Wealth Services, Llc | El Segundo | CA | 10/2023 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 11/2023 | Present |
1. NAME OF OTHER BUSINESS: FANNING FINANCIAL LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL PLANNING, INVESTMENT OPTIONS, RETIREMENT PLANNING SERVICES, AND INSURANCE PRODUCTS; START DATE: 11/2023; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 25; BRIEF DESCRIPTION OF DUTIES: OFFER CLIENTS FINANCIAL PLANNING, INVESTMENT OPTIONS, RETIREMENT PLANNING SERVICES, AND INSURANCE PRODUCTS; 2. NAME OF OTHER BUSINESS: RENTAL PROPERTY, INVESTMENT RELATED: NO, ADDRESS: 6708 AZUELO AVE, ALBUQUERQUE, NM 87120. NATURE OF BUSINESS: REAL ESTATE, START DATE: 03/2025 , POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK:2 , NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: COLLECT RENT FROM THE TENANTS, FOLLOW UP ON ANY ITEMS THAT NEED MAINTANCE;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-10-26 |
| S63 | Uniform Securities Agent State Law Examination | 2021-07-30 |
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