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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 | 2022-11-03 |
| NY | RA | APPROVED | 2021-03-31 |
Branch Locations
120 White Plains Road Suite 403, Tarrytown, NY 10591 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Allied Securities, Inc. | San Diego | CA | 11/2012 | 09/2022 |
| First Allied Advisory Services, Inc | Chesterfield | MO | 11/2012 | 11/2020 |
| Premier Wealth Advisors, Llc | New York | NY | 08/2016 | 07/2024 |
| First Allied Advisory Services | Schaumburg | IL | 11/2020 | 09/2022 |
| Cetera Investment Advisers Llc | New York | NY | 09/2022 | Present |
| Cetera Advisors Llc | New York | NY | 09/2022 | Present |
1. INSURANCE - INDEPENDENT - CONTRACTOR INSURANCE - 8 HOURS PER MONTH - 11/01/2012 2. INTELLECTUAL CAPITAL - EXCHANGE GROUP - OWNER - MARKETING - 40 HOURS PER MONTH - 10/01/2012 3. TORAH BETH SHALOM; BOARD OF TRUSTEES; NONPROFIT ORGANIZATION; START DATE 07/01/2013; 4 HRS. PER MONTH. 4. DAVID A. VOLKMAN; INDEPENDENT CONTRACTOR; AUTHOR/SPEAKER/ENTERTAINER/MEDIA CONTRIBUTOR; START DATE 11/1/2012; 40 HOURS PER MONTH 6. ID 360; Consultant; Consulting ; start date 09/01/2016; 20 hours per month. 7. Granite Ridge Wealth Advisor, LLC; Managing Director; Start Date 02/15/2017; 40 hours per week.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-12-30 |
| S63 | Uniform Securities Agent State Law Examination | 2009-03-16 |
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