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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-01-12 |
| MN | RA | APPROVED | 2015-11-25 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First National Bank Of Sauk Centre | Sauke Centre | MN | 09/1995 | Present |
| Cetera Investment Services | Sauk Centre | MN | 01/1996 | Present |
| Cetera Investment Advisers Llc | Sauk Centre | MN | 11/2015 | Present |
1.)BOARD MEMBER OF SAUK CENTRE AREA COMMUNITY FOUNDATION; HELPING TO SET UP A NEW FOUNDATION; NOT SECURITY RELATED. 2.) ADD 11/2/21: LANDLORD AND CARETAKER OF RENTAL PROPERTY
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-11-16 |
| S63 | Uniform Securities Agent State Law Examination | 1993-07-08 |
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