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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
8774 Yates Dr Suite 130, Westminster, CO 80031 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Summit Brokerage Services | West Minster | CO | 08/2015 | 09/2019 |
| Cetera Wealth Services, Llc | El Segundo | CA | 09/2019 | Present |
| Summit Financial Group Inc | West Minster | CO | 01/2018 | 05/2021 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
(1) THE FINANCIAL RETIREMENT GROUP INC; INVESTMENT RELATED; SAME ADDRESS AS REGISTERED BRANCH; DBA; TREASURER; 10/06/2015; APPX 2 HOURS/MONTH; APPX 0 HOURS/MONTH DURING TRADING; USE THE DBA TO SIGN CONTRACTS, PAY FEES, AND MONTHLY BILLS (2) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 01/2021 ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, ANNUITIES AND LONG TERM CARE ;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-01-09 |
| S63 | Uniform Securities Agent State Law Examination | 1990-06-15 |
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