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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2015-10-09 |
Branch Locations
1425 11Th Ave Lower Level, Altoona, PA 16601 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| East Carroll Township | Carrolltown | PA | 12/1998 | Present |
| Summit Brokerage Services Inc | Altoona | PA | 09/2015 | 09/2019 |
| Cetera Investment Advisers Llc | Altoona | PA | 10/2015 | Present |
| Summit Financial Group Inc | Altoona | PA | 05/2016 | 05/2021 |
| Cetera Wealth Services, Llc | El Segundo | CA | 09/2019 | Present |
| Platinum Wealth Strategies, Llc | Altoona | PA | 09/2011 | Present |
1. NAME OF OTHER BUSINESS: PLATINUM WEALTH STRATEGIES, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED ADDRESS NATURE OF BUSINESS: DBA FOR CETERA START DATE: 9/2011 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; (2)EAST CARROLL TOWNSHIP.CARROLLTOWN,PA.AUDITOR.AUDIT BOOKS FOR TOWNSHIP ONCE ANNUALLY.13 HOURS SPENT DURING NON-TRADING HOURS.AUDIT BOOKS WITH 2 OTHER AUDITORS IN JANUARY EACH YEAR.START DATE 2004 (3)EDGE CONSTRUCTION AND LANDSCAPING, 225 POOLE LANE, EBENSBURG, PA 15931. OWNER - MINOR CONSTRUCTION PROJECTS FOR FRIENDS AND FAMILY. NOT INVESTMENT RELATED. START DATE FEB 2010 - 4 TO 8 HOURS A MONTH (4)ROCKHILL REALITY LLC P O BOX 17 REVERE PA 18953. RENTAL BUSINESS. ZERO HOURS DURING TRADING HOURS AND 1-2 HOURS DURING NON-TRADING HOURS. OVER SEE REPAIRS TO OUR PROPERTIES. NOT INVESTMENT RELATED. STARTED 9/2005 (5) PACKERS FORK CAMP; SINCE 01/01/2008; 225 POOLE LANE, EBENSBURG, PA, 15931; TREASURER; make sure taxes and camp lease is paid once a year; write checks for taxes and camp lease once per year; 1 HOUR SPENT ON THIS ACTIVITY PER MONTH, 0 HOURS SPENT ON ACTIVITY PER MONTH DURING TRADING HOURS
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-04-21 |
| S63 | Uniform Securities Agent State Law Examination | 1993-07-12 |
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