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210 Jones St Ste. 104, Dubuque, IA 52001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2024-07-08 |
Branch Locations
2301 Rosecrans Ave #5100, El Segundo, CA 90245 • United States
Marietta, GA • United States
1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2023-03-22 |
Branch Locations
2301 Rosecrans Ave #5100, El Segundo, CA 90245 • United States
Marietta, GA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Advisors Llc | Denver | CO | 11/2015 | Present |
| Cetera Wealth Services, Llc | El Segundo | CA | 11/2015 | Present |
| Cetera Financial Specialists Llc | Schaumburg | IL | 11/2015 | Present |
| Cetera Investment Services Llc | Saint Cloud | MN | 11/2015 | Present |
| First Allied Securities, Inc. | San Deigo | CA | 11/2015 | 09/2022 |
| Investors Capital Corp. | Lynnfield | MA | 11/2015 | 11/2016 |
| Legend Equities Corporation | Palm Beach Gardens | FL | 11/2015 | 12/2016 |
| Summit Brokerage Services, Inc. | Boca Raton | FL | 11/2015 | Present |
| Girard Securities, Inc. | San Diego | CA | 11/2015 | 11/2017 |
| Vsr Financial Services, Inc. | Overland Park | KS | 11/2015 | 11/2016 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2023 | Present |
| Avantax Planning Partners, Inc | Dallas | TX | 08/2024 | Present |
| Avantax Advisory Services | Dallas | TX | 08/2024 | 09/2025 |
| Avantax Investment Services | Dallas | TX | 08/2024 | 09/2025 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-10-11 |
| S65 | Uniform Investment Adviser Law Examination | 1999-09-16 |
| S63 | Uniform Securities Agent State Law Examination | 1992-05-22 |
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