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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
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Wealth Services, Llc | El Segundo | CA | 03/2016 | Present |
| Gba Wealth Group | Concord | CA | 04/2021 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1. NAME OF OTHER BUSINESS: CO-TRUSTEE, WITH DURABLE POWER OF ATTORNEY INVESTMENT RELATED: YES ADDRESS: 321 GARDEN COURT, ROSEVILLE, CA 95678 NATURE OF BUSINESS: DURABLE POWER OF ATTORNEY FOR FINANCIAL MANAGEMENT AND PERSONAL CARE DECISIONS FOR MOTHER. ALSO CO-TRUSTEE ON MOTHER'S TRUST. START DATE: 12/2015 POSITION/TITLE/RELATIONSHIP: CO-TRUSTEE APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 10 BRIEF DESCRIPTION OF DUTIES: DURABLE POWER OF ATTORNEY FOR FINANCIAL MANAGEMENT AND PERSONAL CARE DECISIONS FOR MOTHER. ALSO CO-TRUSTEE ON MOTHER'S TRUST. 2. NAME OF OTHER BUSINESS:. JOSEPH FANUCCHI, REGISTERED REP WITH CETERA ADVISOR NETWORKS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ASSISTANT START DATE: 12/2017 POSITION/TITLE/RELATIONSHIP: REGISTERED ADMINISTRATIVE ASSISTANT APX NUMBER OF HOURS PER WEEK: 2-10 APX NUMBER OF HOURS DURING TRADING HOURS: 2-10 BRIEF DESCRIPTION OF DUTIES: ORGANIZING AND MAINTAINING BOOKS AND RECORDS, ASSISTING CLIENTS WITH SECURITIES QUESTIONS AND PLANNING, ASSISTING IN CLIENT REVIEW PREP, MAKING TRADES, ALL TO BE DONE AS DIRECTED BY JOSEPH FANUCHI, THE REP OF RECORD 3. NAME OF OTHER BUSINESS: GBA WEALTH GROUP INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 04/2021, POSITION/TITLE/RELATIONSHIP: CLIENT SERVICES MANAGER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: ASSIST WITH CLIENT SERVICES AND REPORTING, MARKETING AND DAY TO DAY TASKS;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-03-17 |
| S63 | Uniform Securities Agent State Law Examination | 1993-05-21 |
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