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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 | 2024-05-20 |
| TN | RA | APPROVED | 2023-01-31 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Allianz Global Investors Distributors Llc | New York | NY | 06/2013 | 09/2022 |
| Regions Bank | Knoxville | TN | 10/2022 | Present |
| Cetera Investment Services Llc | Knoxville | TN | 10/2022 | Present |
| Cetera Investment Advisers Llc | Knoxville | TN | 01/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-01-27 |
| S63 | Uniform Securities Agent State Law Examination | 2005-08-19 |
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