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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 | 2023-06-29 |
| GA | RA | APPROVED | 2023-03-22 |
Branch Locations
200 Main Street Suite 200, Gainesville, GA 30501 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Preferred Capital Management, L.L.C. | Duluth | GA | 05/2001 | Present |
| Voya Financial Advisors | Duluth | GA | 09/2014 | 06/2021 |
| Cetera Wealth Services, Llc | El Segundo | CA | 06/2021 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2023 | Present |
| Cetera Investment Advisers Llc | Duluth | GA | 06/2023 | Present |
1) NAME OF ENTITY: Preferred Capital Management, LLC; Yes; 6340 SUGARLOAF PKWY STE 200; DULUTH; GA; 30097; financial services; president; 5/1/2001; 160; 160; sales of fixed insurance and securities products| 2) NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 6340 SUGARLOAF PKWY STE 200; DULUTH; GA; 30097; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 5/28/2009; 160; 160; SALES OF FIXED INSURANCE PRODUCTS| 3) NAME OF OTHER BUSINESS: MICHAEL D STEPHENS MEMORIAL FOUNDATION INC; INVESTMENT RELATED: NO; ADDRESS: 6340 SUGARLOAF PKWY SUITE 200 DULUTH, GA 30097; NATURE OF BUSINESS: FOUNDATION BOARD; START DATE: 02/2024; POSITION/TITLE/RELATIONSHIP: SECRETARY; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: RECORD MINUTES OF BOARD MEETINGS;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-01-09 |
| S63 | Uniform Securities Agent State Law Examination | 1990-01-10 |
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