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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 | 2022-05-12 |
| CA | RA | APPROVED | 2020-11-12 |
Branch Locations
9431 Haven Avenue Ste#118, Rancho Cucamonga, CA 91730 • United States
199 S Los Robles Ave Suite 230, Pasadena, CA 91101 • 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 |
|---|---|---|---|---|
| First Allied Securities, Inc. | San Diego | CA | 11/2007 | 09/2022 |
| First Allied Advisory Services, Inc. | Chesterfield | MO | 07/2012 | 11/2020 |
| First Allied Advisory Services | Schaumburg | IL | 11/2020 | 11/2020 |
| Cetera Advisors Llc | Pasadena | CA | 09/2022 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 11/2020 | Present |
1.) HARVEST FINANCIAL, LLC; OTHER; START DATE: 1/2/2008 2.) TSE REALTY AND MANAGEMENT; REAL ESTATE;(AGENT); START DATE: 3/27/2008 3.) HARVEST FINANCIAL; INSTRUCTOR; EDUCATION; START DATE 02/26/2014; 24 HOURS PER WEEK. 4.) HARVEST FINANCIAL; AGENT; INSURANCE; START DATE 08/26/2016; 40 HOURS PER MONTH.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-09-22 |
| S63 | Uniform Securities Agent State Law Examination | 1994-08-26 |
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