Arthur Dickson Wharton

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2020-02-25

TX RA
APPROVED

Since 2020-02-25

Branch Locations

1300 11Th St Ste 430, Huntsville, TX 77340 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Wharton Insurance Network	Huntsville	TX	07/1991	Present
Signator Investors, Inc.	Huntsville	TX	12/2015	11/2018
Royal Alliance Associates, Inc.	Huntsville	TX	11/2018	12/2019
Cetera Investment Services Llc	St Cloud	MN	02/2020	Present
Cetera Investment Advisers Llc	Huntsville	TX	02/2020	Present

07/1991 → Present

Wharton Insurance Network

Huntsville, TX
12/2015 → 11/2018

Signator Investors, Inc.

Huntsville, TX
11/2018 → 12/2019

Royal Alliance Associates, Inc.

Huntsville, TX
02/2020 → Present

Cetera Investment Services Llc

St Cloud, MN
02/2020 → Present

Cetera Investment Advisers Llc

Huntsville, TX

Previous Registrations

2018-11-02 → 2019-12-10

Osaic Wealth, Inc.

Huntsville, TX

Southfield, MI
2017-06-14 → 2018-11-02

Signator Investors, Inc.

Huntsville, TX

Southfield, MI

Other Businesses

1) WHARTON INSURANCE INVESTMENTS NETWORK, INC DBA WHARTON INSURANCE NETWORK, ALL INSURANCE WILL COME THROUGH CETERA EXCEPT FOR HEALTH/P&C BUSINESS. 2) TEXAS STATE REPRESENTATIVE, 20/HRS/WK.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2017-06-08
S63	Uniform Securities Agent State Law Examination	1992-11-06

S65 Uniform Investment Adviser Law Examination

2017-06-08
S63 Uniform Securities Agent State Law Examination

1992-11-06

Other Names

Trey Wharton

View on SEC IAPD