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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-06-29 |
Branch Locations
655 W Broadway12Th Fl, San Diego, CA 92101 • United States
655 W Broadway 12Th Fl, San Diego, CA 92101 • United States
San Diego, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Academy Securities Inc. | San Diego | CA | 12/2015 | 04/2017 |
| Cetera Wealth Services, Llc | El Segundo | CA | 04/2017 | Present |
| Cetera Advisors Llc | Greenwood Village | CO | 04/2021 | Present |
| Cetera Financial Specialists Llc | Schaumburg | IL | 04/2021 | Present |
| Cetera Investment Services Llc | St Cloud | MN | 04/2021 | Present |
| First Allied Securities, Inc. | San Diego | CA | 04/2021 | 09/2022 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
| Avantax Investment Services Inc | Dallas | TX | 05/2025 | 09/2025 |
| Cetera Wealth Services, Llc | San Diego | CA | 09/2025 | Present |
1) NAME OF OTHER BUSINESS: REVOCABLE TRUST ; INVESTMENT RELATED:NO ; ADDRESS: SAME AS RESIDENTIAL LOCATION ; NATURE OF BUSINESS: EXECUTOR & TRUSTEE OF ESTATE START DATE: 11/2018 ; POSITION/TITLE/RELATIONSHIP: EXECUTOR SUCCESSOR TRUSTEE ; APX NUMBER OF HOURS PER WEEK: 0 ; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: DISTRIBUTE ESTATE AND ASSETS ACCORDING TO TRUST ; 2) NAME OF OTHER BUSINESS: LIONS, TIGERS, AND BEARS (LTB); INVESTMENT RELATED: NO; ADDRESS: 24402 MARTIN WAY ALPINE, CA 91901; NATURE OF BUSINESS: NON PROFIT; START DATE: 03/2024; POSITION/TITLE/RELATIONSHIP: VOLUNTEER; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: CONDUCT GROUP VISITS, EDUCATION, PREPARE FOOD AND FEED ANIMALS, TRAIN NEW VOLUNTEERS;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-02-14 |
| S63 | Uniform Securities Agent State Law Examination | 1998-10-20 |
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