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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2023-06-29 |
| TX | RA | APPROVED_RES | 2023-06-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Self Employed- Buff Family Home | Cortez | CO | 11/2015 | Present |
| Voya Financial Advisors, Inc. | Cortez | CO | 08/2019 | 06/2021 |
| Cetera Wealth Services, Llc | El Segundo | CA | 06/2021 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1. NAME OF ENTITY: BUFF FINANCIAL SERVICES; Yes; 918 L WAY; CORTEZ; CO; 81321; FINANCIAL SERVICES/DBA; OWNER; 10/28/2019; 160; 160; SALE AND SERVICE SECURITIES PRODUCTS| 2. NAME OF ENTITY: Battle Rock Charter School; No; 11351 Rd G; CORTEZ; CO; 81321; Substitute Teacher; Substitute Dance teacher; 10/26/2020; 12; 12; Teaching Dance to children , helping with their social emotional development.| 3. NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 918 L Way; CORTEZ; CO; 81321; Fixed Insurance Sales; Independent Insurance Agent; 4/12/2021; 10; 10; SALES OF FIXED INSURANCE PRODUCTS|
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2019-10-25 |
| S65 | Uniform Investment Adviser Law Examination | 2018-06-02 |
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