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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 | 2023-06-29 |
| MN | RA | APPROVED | 2023-06-29 |
| TX | RA | APPROVED_RES | 2023-06-29 |
Branch Locations
500 Main St Ste 100, New Brighton, MN 55112 • United States
1001 Highway 7, Hopkins, MN 55305 • United States
10653 Wayzata Blvd, Minnetonka, MN 55305 • United States
4800 Edgewood Rd Sw, Cedar Rapids, IA 52406 • United States
5701 Normandale Road Suite 161, Edina, MN 55424 • 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 |
|---|---|---|---|---|
| Axa Distributors, Llc | New York | NY | 08/2012 | 04/2020 |
| Cetera Wealth Services, Llc | El Segundo | CA | 04/2020 | Present |
| Mill City Investment Services | Minnetonka | MN | 04/2020 | 09/2025 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
(1) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 04/2020 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE (2) NAME OF OTHER BUSINESS: THE SERVION GROUP DBA SERVION FINANCIAL ADVISORS, INVESTMENT RELATED: YES ADDRESS: 500 MAIN ST, STE 100, NEW BRIGHTON MN 55112 ; NATURE OF BUSINESS: FINANCIAL SERVICES ; START DATE: 11/2020 ; POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTATIVE ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SOLUTIONS TO THE MEMBERS OF MILL CITY CREDIT UNION; (3) NAME OF OTHER BUSINESS: CITY & COUNTRY CREDIT UNION DBA SERVION FINANCIAL, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: CREDIT UNION, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, START DATE: 09/2023. APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: OFFERING INVESTMENTS ON PREMISES OF CREDIT UNION: (4) NAME OF OTHER BUSINESS: CITY & COUNTRY CREDIT UNION DBA SERVION FINANCIAL, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 09/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-02-19 |
| S63 | Uniform Securities Agent State Law Examination | 2001-09-21 |
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