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Monclair, NJ • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2022-02-24 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corporation | Denver | CO | 01/2007 | 03/2018 |
| Cetera Advisors Llc | Denver | CO | 05/2018 | Present |
1) NAME OF OTHER BUSINESS: SPINONI CONSULTING ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS RESIDENTIAL LOCATION ; NATURE OF BUSINESS: DATA ENTRY ; START DATE: 10/2019 ; POSITION/TITLE/RELATIONSHIP: OWNER / DATA ENTRY ; APX NUMBER OF HOURS PER WEEK: 10 ; APX NUMBER OF HOURS DURING TRADING HOURS: 10 ; BRIEF DESCRIPTION OF DUTIES: THIRD PARTY DUE DILIGENCE FOR BANKS, B/D'S, AND WIREHOUSES ;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-03-12 |
| S63 | Uniform Securities Agent State Law Examination | 2018-11-20 |
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