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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 |
| FL | RA | APPROVED | 2020-10-26 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Allied Securities, Inc. | San Diego | CA | 08/1998 | 09/2022 |
| First Allied Advisory Services, Inc. | Chesterfield | MO | 05/2012 | 11/2020 |
| First Allied Advisory Services | Schaumburg | IL | 11/2020 | 11/2020 |
| Cetera Advisors Llc | St Cloud | MN | 09/2022 | Present |
| Pathway Associates Inc. | Dunedin | FL | 01/2023 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 10/2020 | Present |
1.) NAME OF OTHER BUSINESS: PATHWAY ASSOCIATES INC.; INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX PREP AND ACCOUNTING; START DATE: 1/2023 POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: TAX PREP, ACCOUNTING, AND BOOKKEEPING; 2.) SMITH WEALTH MANAGEMENT. PRESIDENT. DBA. START DATE: 8/24/2010
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1993-12-31 |
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