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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2024-03-21 |
| TX | RA | APPROVED_RES | 2024-03-21 |
Branch Locations
7025 N Scottsdale Rd Ste 115 And 110, Scottsdale, AZ 85253 • 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 |
|---|---|---|---|---|
| First Financial Equity Corp | Scottsdale | AZ | 01/2005 | 12/2020 |
| Cetera Advisors Llc | St Cloud | MN | 12/2020 | Present |
| Self Wealth Management | Scottsdale | AZ | 12/2020 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | Present |
(1) FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FIXED INSURANCE, START DATE 12/2020, INSURANCE AGENT, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, SELLS LIFE, ANNUITIES AND LONG-TERM CARE; (2) WILDE WEALTH MANAGEMENT GROUP, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 12/2020, FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, 32.5 DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; (3) SELF WEALTH MANAGEMENT, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 12/2020, OWNER, APX NUMBER OF HOURS PER WEEK: 40, 32.5 DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES (4) NAME OF OTHER BUSINESS: CLIENT TRUST ; INVESTMENT RELATED: NO ; ADDRESS: 7025 N. SCOTTSDALE RD SCOTTSDALE, AZ 85253 ; NATURE OF BUSINESS: TRUST ; START DATE: 02/2021 POSITION/TITLE/RELATIONSHIP: TRUSTEE ; APX NUMBER OF HOURS PER WEEK: 1-2/ MONTH ; APX NUMBER OF HOURS DURING TRADING HOURS: 1-2/ MONTH ; BRIEF DESCRIPTION OF DUTIES: PAY FINAL BILLS, DISPOSE OF ASSETS, DISBURSE FUNDS, SIGN FINAL IRS DOCUMENTS ; 5. NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL ADDRESS NATURE OF BUSINESS: POWER OF ATTORNEY, START DATE: 12/2021, POSITION/TITLE/RELATIONSHIP: POA, APX NUMBER OF HOURS PER WEEK: 5, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: MPOA AND DPOA FOR LONG TIME FAMILY FRIEND;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-09-27 |
| S63 | Uniform Securities Agent State Law Examination | 1992-07-16 |
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