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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 | 2023-02-24 |
| CA | RA | APPROVED | 2011-12-02 |
Branch Locations
1224 E Katella Ave Ste 102, Orange, CA 92867 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Financial Specialists Llc | Schaumburg | IL | 11/2011 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 11/2011 | Present |
| Sound Financial Services | Orange | CA | 12/2011 | Present |
| Ameriestate Legal Plan, Inc | Orange | CA | 05/2015 | Present |
1) SOUND FINANCIAL SERVICES; INV REL; ORANGE, CA; TAX PREPARATION/BOKKEEPING PRACTICE; OWNER; START DATE 12/1/2011; JAN-APR 250 HRS/MTHM MAY - DECEMEBER 170 HRS/MTH 120 HRS DURING SECURITIES TRADING HRS: 2) CRAIG ATTANASIO; ORANGE, CA; NOT INV REL; COLLECT LIFE AND LTC INSURANCE RENEWALS FROM TRANSAMERICA AND GENWORTH: 3) AMERIESTATE LEGAL PLAN, INC; NOT INVESTMENT RELATED; ADDRESS IS THE REGISTERED LOCATION; ESTATE PLANNING AND ASSET PROTECTION PLANNING; START 5/2015; 3 HOURS/WEEK DURING SECURITIES TRADING HOURS; INDEPENDENT AGENT FOR LEGAL PLAN PROVIDER THAT SPECIALIZES IN THE PREPARATION OF WILLS AND TRUSTS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-11-06 |
| S63 | Uniform Securities Agent State Law Examination | 1991-08-19 |
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