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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-04-25 |
Branch Locations
Fort Lauderdale, FL • United States
2301 Rosecrans Ave #5100, El Segundo, CA 90245 • 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 |
|---|---|---|---|---|
| Independent Portfolio Consultants, Inc. | Boca Raton | FL | 07/2002 | 08/2017 |
| Managed Account Services, Llc | Wayne | PA | 05/2010 | 08/2017 |
| Logan Capital Management, Inc. | Ardmore | PA | 08/2017 | 06/2018 |
| Quasar Distributors, Llc | Milwaukee | WI | 08/2017 | 06/2018 |
| Rafferty Capital Markets, Llc | Garden City | NY | 06/2018 | 12/2021 |
| Hilton Capital Management, Llc | Boca Raton | FL | 06/2018 | 06/2022 |
| Foreside Fund Services, Llc | Boca Raton | FL | 01/2022 | 06/2022 |
| Cetera Wealth Services, Llc | El Segundo | CA | 06/2022 | Present |
| Cetera Advisors Llc | Greenwood Village | CO | 06/2022 | Present |
| Cetera Financial Specialists Llc | Schaumburg | IL | 06/2022 | Present |
| Cetera Investment Services Llc | St Cloud | MN | 06/2022 | Present |
| First Allied Securities Inc | San Diego | CA | 06/2022 | 09/2022 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2023 | Present |
1. NAME OF OTHER BUSINESS: WOMEN IN ETF; INVESTMENT RELATED: NO; ADDRESS: 5806 GROVE AVENUE, RICHMOND, VA 23226; NATURE OF BUSINESS: INSPIRING AND SUPPORTING WOMEN IN THE ETF AND FINANCE INDUSTRY; START DATE: 07/2021; POSITION/TITLE/RELATIONSHIP: MEMBERSHIP COMMITTEE CO-CHAIR; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: ATTEND NETWORKING EVENTS, REVIEW PROFILES FOR MEMBERSHIP APPROVAL;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-03-16 |
| S63 | Uniform Securities Agent State Law Examination | 1996-12-06 |
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