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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2024-03-21 |
| TX | RA | APPROVED_RES | 2024-03-21 |
Branch Locations
1980 Dominion Way Suite 101, Colorado Springs, CO 80918 • United States
8035 Bannock Dr, Larkspur, CO 80118 • United States
Colorado Springs, CO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Advisors Llc | Denver | CO | 01/2013 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | Present |
1. IRM SOLUTIONS DBA: PURPOSE PLANNING INC, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED LOCATION, SECURITIES AND FINANCIAL SERVICES, START 05/1998, 40 HR/WK DURING TRADING HOURS, FINANCIAL PROFESSIONAL. 2. FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED LOCATION, START 2008, 1HR/WEEK, VARIES DURING TRADING HOURS, INSURANCE AGENT SELLS LIFE, ANNUITIES AND LONG TERM CARE. 3. NAME OF OTHER BUSINESS: BROADMOOR DISTRICT ROTARY CLUB; INVESTMENT RELATED: NO ADDRESS: 76 S SIERRA MADRE ST # 216, COLORADO SPRINGS, CO 80903 ; NATURE OF BUSINESS: BOARD; START DATE: 7/1/26; POSITION/TITLE/RELATIONSHIP: CHAIRMAN; APX NUMBER OF HOURS PER WEEK: 0.25; APX NUMBER OF HOURS DURING TRADING HOURS:0; BRIEF DESCRIPTION OF DUTIES: ANSWER QUESTIONS ABOUT THE FOUNDATION, DIRECT WERE TO MAKE A DONATION;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-09-29 |
| S63 | Uniform Securities Agent State Law Examination | 1997-07-07 |
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