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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2024-03-21 |
Branch Locations
34 Main Street Extension Ste 201, Plymouth, MA 02360 • United States
1500 District Ave, Burlington, MA 01803 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Advisors Llc | El Segundo | CA | 01/2013 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | Present |
1. LORI ULM, SAME AS REGISTERED LOCATION, DIVORCE PLANNING, 1HR/WK, HOURLY FEE. 2. PROSPERITY FINANCIAL PLANNING, SAME AS REGISTERED LOCATION, DBA FOR SECURITIES BUSINESS AND FIXED INSURANCE SALES. 3. ESTATE SETTLEMENT CONTRACTOR, SAME AS OFFICE ADDRESS, HELP PEOPLE LIQUIDATE ITEMS NOT WANTED BY THE ESTATE, 100% OWNER,5HR/WK, $120/HR.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-11-22 |
| S63 | Uniform Securities Agent State Law Examination | 1990-08-24 |
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