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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-02-28 |
Branch Locations
10800 Biscayne Blvd, Ste 725, Miami, FL 33161 • United States
7971 Riviera Blvd., Suite 331, Miramar, FL 33023 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Td Bank, Na | Sunny Isles Beach | FL | 11/2011 | 12/2016 |
| Treece Financial Group | Miami Shores | FL | 05/2015 | Present |
| Cetera Advisors Llc | Denver | CO | 09/2017 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 01/2024 | Present |
1) NAME OF OTHER BUSINESS: TREECE FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 05/2015; POSITION/TITLE/RELATIONSHIP: BUSINESS DEVELOPMENT MANAGER; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: ENGAGEMENT IN ACTIVITY APPLICATION FOR ACCOUNTS AND EXECUTING SALES OBJECTIVES ; 2) NAME OF OTHER BUSINESS: NATIONS TRUST MORTGAGE ; INVESTMENT RELATED: NO ; ADDRESS: 20200 WEST DIXIE HIGHWAY 1104, AVENTURA FL 33180 ; NATURE OF BUSINESS: MORTGAGE SERVICES ; START DATE: 07/2019 ; POSITION/TITLE/RELATIONSHIP: LOAN ORIGINATOR ; APX NUMBER OF HOURS PER WEEK: 3 ; APX NUMBER OF HOURS DURING TRADING HOURS: 3 ; BRIEF DESCRIPTION OF DUTIES: PROCESSING VARIOUS TYPES OF MORTGAGE LOANS ; 3. N/A, NOT INVESTMENT RELATED, 3000 BISCAYNE BLVD, SUITE 210, MIAMI, FL, 33137, TAX PREP, STARTED 0/2014, POSITION/TITLE/RELATIONSHIP: VOLUNTEER, APX 1 HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: INTERVIEW TAXPAYERS AND PREPARE TAX FORMS 3) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 1/2025; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 4) NAME OF OTHER BUSINESS: FAMILY HOME LOANS; INVESTMENT RELATED: NO; ADDRESS: 12223 SHERIDAN ST, COOPER CITY, FL 33026; NATURE OF BUSINESS: MORTGAGES; START DATE: 1/2025; POSITION/TITLE/RELATIONSHIP: INDEPENDENT CONTRACTOR; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: OFFER HOME LOANS; 5. NAME OF OTHER BUSINESS: JSS CONSULTING SERVICES, INC; INVESTMENT RELATED: NO; ADDRESS: 80 S SHORE DRIVE, MIAMI BEACH, FL 33141; NATURE OF BUSINESS: BUSINESS DEVELOPMENT; START DATE: 1/2025; POSITION/TITLE/RELATIONSHIP: INDEPENDENT CONTRACTOR; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: PROVIDE ADVICE ON BUSINESS SYSTEMS AND STRATEGY
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-05-25 |
| S63 | Uniform Securities Agent State Law Examination | 2006-12-29 |
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