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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-06-29 |
Branch Locations
2300 First Street Ste 350, Livermore, CA 94550 • United States
San Ramon, CA • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Self Employed Retirement Planning | Sacramento | CA | 09/1987 | 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: INSURANCE, INVESTMENT RELATED: YES, NATURE OF BUSINESS: SALE OF FIXED INSURANCE (LIFE, ANNUITIES), POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTATIVE, BRIEF DESCRIPTION OF DUTIES: SALE OF VARIOUS INSURANCE COMPANIES AS A REGISTERED REPRESENTATIVE;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-06-16 |
| S63 | Uniform Securities Agent State Law Examination | 1992-04-23 |
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