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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 | 2023-01-12 |
| WI | RA | APPROVED | 2014-01-21 |
Branch Locations
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 |
|---|---|---|---|---|
| Waukesha State Bank | Waukesha | WI | 02/2000 | Present |
| Cetera Investment Services Llc | St. Cloud | MN | 05/2006 | Present |
| Cetera Investment Advisers Llc | Waukesha | WI | 01/2014 | Present |
1.) SALE OF FIXED INSURANCE PRODUCTS THROUGH WAUKESHA STATE BANK'S INSURANCE AGENCY. 2.) REFERRALS TO PRAIRIE TRUST/WAUKESHA STATE BANK WEALTH MANAGEMENT, LESS THAN 1/HR/WK;
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1990-05-30 |
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