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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2019-01-03 |
Branch Locations
2 disclosure categories 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 |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Minneapolis | MN | 10/2009 | 10/2018 |
| Ameriprise Financial Services, Inc. | Ottumwa | IA | 10/2009 | 10/2018 |
| Cetera Financial Specialists Llc | Schaumburg | IL | 10/2018 | Present |
| Ll Franck & Co Dba H&R Block | Knoxville | IA | 09/2001 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 01/2019 | Present |
1) LL FRANCK & CO DBA H&R BLOCK, NOT INVESTMENT RELATED, 110 S 2ND ST, KNOXVILLE, IA, INCOME TAX PREP AND ACCOUNTING SERVICES, OWNER, 40H/WEEK, SINCE 09/2001 2) PROPERTY OWNERSHIP, LP FRANK & CO DBA H&R BLOCK, NOT INVESTMENT RELATED, 107 SOUTH MAIN, CHARLTON, IA, OWNER, SINCE 12/1999, 1H/WEEK 3) PROPERTY OWNERSHIP, LP FRANK & CO DBA H&R BLOCK, NOT INVESTMENT RELATED, 107-109 NORTHWEST 2ND ST, LEON, IA, OWNER, SINCE 12/1999, 1H/WEEK 4) PROPERTY OWNERSHIP, LP FRANK & CO DBA H&R BLOCK, NOT INVESTMENT RELATED, 110 S 2ND ST, KNOXVILLE, IA, OWNER, SINCE 12/1999, 1H/WEEK 5) PROPERTY OWNERSHIP, LP FRANK & CO DBA H&R BLOCK, NOT INVESTMENT RELATED, 120 BENTON AVE EAST, ALBIA, IA, OWNER, SINCE 12/1999, 1H/WEEK 6) NAME OF OTHER BUSINESS: L.L. FRANCK & CO DBA H&R BLOCK; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: OFFICE BUILDING; START DATE: 08/2022; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: OWNER OF OFFICE BUILDING 101 WASHINGTON ST, ST W, WASHINGTON, IA, 52353; 7) NAME OF OTHER BUSINESS: NOTARY; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NOTARY; START DATE: 1/2022; POSITION/TITLE/RELATIONSHIP: NOTARY PUBLIC; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: NOTARY SERVICES PROVIDED AS NEEDED;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-12-20 |
| S63 | Uniform Securities Agent State Law Examination | 1993-06-01 |
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