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6 Hutton Centre Drive Suite 1280, Santa Ana, CA 92707 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-05-30 |
| CA | RA | APPROVED | 1997-07-08 |
Branch Locations
6 Hutton Centre Drive Suite 1280, Santa Ana, CA 92707 • United States
1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-03-21 |
| TX | RA | APPROVED | 2024-03-21 |
Branch Locations
6 Hutton Centre Drive Ste 1280, Santa Ana, CA 92707 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jmb Financial Managers, Inc. | Irvine | CA | 10/1992 | Present |
| Cetera Advisors Llc | Denver | CO | 01/2013 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | Present |
1) NAME OF OTHER BUSINESS: JMB FINANCIAL MANAGERS, INC. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADVISORY BUSINESS START DATE: 1997 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF TRADING HOURS PER WEEK: 32.5 POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE BRIEF DESCRIPTION OF DUTIES: PROVIDE WRITTEN PLANS FOR FIXED FEE OR HOURLY RATE| 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: 10/2016, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF TRADING HOURS PER WEEK: 32.5, POSITION/TITLE/RELATIONSHIP: AGENT, BRIEF DESCRIPTION OF DUTIES: LIFE, HEALTH, DISABILITIES, & LONG TERM CARE| 3) NAME OF OTHER BUSINESS: LIFE LOCK BENEFIT SOLUTIONS INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: IDENTITY THEFT PROTECTION SERVICES START DATE: 2016, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF TRADING HOURS PER WEEK: 1, POSITION/TITLE/RELATIONSHIP: SALES REP, BRIEF DESCRIPTION OF DUTIES: SALES| 4. NAME OF OTHER BUSINESS: ST. CECICLIA CHURCH PARICH FINANCE COUNCIL; INVESTMENT RELATED: NO; ADDRESS: 1301 S SYCAMORE AVE, TUSTIN, CA 92780; NATURE OF BUSINESS: BOARD; START DATE: 2/2022; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: REVIEW INFORMATION PROVIDED BY THE CHURCH BOOKKEEPER, ACCOUNTANT, & MAKE RECOMMENDATIONS TO CHURCH PASTOR;
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1991-01-30 |
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