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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OK | RA | APPROVED | 2021-04-23 |
Branch Locations
13919 Quail Pointe Drive, Oklahoma City, OK 73134 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| American Fidelity Securities, Inc | Oklahoma City | OK | 07/2014 | 06/2017 |
| First Allied Securities Inc | San Diego | CA | 06/2017 | 09/2022 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 04/2021 | Present |
| Cetera Advisors Llc | Oklahoma City | OK | 09/2022 | Present |
| Investment Concepts | Oklahoma City | OK | 10/2023 | Present |
1) NAME OF OTHER BUSINESS: INVESTMENT CONCEPTS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 10/2023; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-06-24 |
| S63 | Uniform Securities Agent State Law Examination | 2014-09-04 |
| S66 | Uniform Combined State Law Examination | 2005-08-13 |
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