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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 | 2026-06-26 |
| NY | RA | APPROVED | 2026-06-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Wealth Services, Llc | El Segundo | CA | 06/2026 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2026 | Present |
| First Niagara/Keybank | Baldwinsville | NY | 02/2010 | 05/2026 |
| Key Investment Services Llc | Syracuse | NY | 07/2019 | 07/2021 |
| Key Investment Services Llc | Baldwinsville | NY | 07/2021 | 05/2026 |
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: 09/2020 APX NUMBER OF HOURS PER WEEK: 4 APX NUMBER OF HOURS DURING TRADING HOURS: 4 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS FIXED INSURANCE PRODUCTS 2. NAME OF OTHER BUSINESS: HORAN WEALTH MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 09/2020 APX NUMBER OF HOURS PER WEEK: 4 APX NUMBER OF HOURS DURING TRADING HOURS: 4 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES 3. NAME OF OTHER BUSINESS: NOTARY PUBLIC ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NOTARY ; START DATE: 7/10/2026 ; POSITION/TITLE/RELATIONSHIP: NOTARY ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS:1 ; BRIEF DESCRIPTION OF DUTIES: NOTARY SERVICES ;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-07-26 |
| S63 | Uniform Securities Agent State Law Examination | 2019-10-03 |
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