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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2023-06-29 |
Branch Locations
605 13Th St North, Humboldt, IA 50548 • United States
714 Central Ave E, Clarion, IA 50525 • United States
609 Broad St, Story City, IA 50248 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First State Bank | Webster City | IA | 05/1986 | Present |
| Cetera Wealth Services, Llc | El Segundo | CA | 01/2013 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 10/2015 APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF TRADING HOURS PER WEEK: 8 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, ANNUITIES, AND LONG TERM CARE 2. NAME OF OTHER BUSINESS: FIRST STATE BANK DBA FIRST STATE BANK INVESTMENT SERVICES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: BANK POSITION/TITLE/RELATIONSHIP: MANAGER START DATE: 10/2015 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: MANAGER OF BANK IRA PROGRAM; BANK OFFICER. 3. NAME OF OTHER BUSINESS: WC4PLEX LLC ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS RESIDENTIAL LOCATION ; NATURE OF BUSINESS: RENTAL PROPERTY ; START DATE: 10/2018 POSITION/TITLE/RELATIONSHIP: OWNER ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; BRIEF DESCRIPTION OF DUTIES: SPLIT OWNERSHIP WITH FAMILY ; 4. NAME OF OTHER BUSINESS: SAINT PAUL LUTHERAN CHURCH; INVESTMENT RELATED: NO; ADDRESS: 3726 NELSON AVE, JEWELL, IA, 50130; NATURE OF BUSINESS: RELIGIOUS; START DATE: 4/2022; POSITION/TITLE/RELATIONSHIP: DEACON; APX NUMBER OF HOURS PER WEEK: 1; NOT DURING TRADING HOURS; BRIEF DESCRIPTION OF DUTIES:SPIRITUAL LEADER, ADVISOR TO PASTOR; 5. NAME OF OTHER BUSINESS: FINANCIAL LITERACY COUNCIL OF GREATER HAMILTON COUNTY INVESTMENT RELATED: NO ADDRESS: 501 BANK ST, SUITE 1, WEBSTER CITY, IA, 50595 NATURE OF BUSINESS: NON-PROFIT START DATE: 06/2018 POSITION/TITLE/RELATIONSHIP: BOARD MEMBER APX NUMBER OF HOURS PER WEEK: 2 NOT DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: PROMOTE FINANCIAL KNOWLEDGE AND SKILLS AMONG HAMILTON RESIDENTS
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-06-28 |
| S63 | Uniform Securities Agent State Law Examination | 1990-11-09 |
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