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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2023-06-29 |
| TX | RA | APPROVED_RES | 2023-06-29 |
Branch Locations
8774 Yates Dr Suite 130, Westminster, CO 80031 • United States
2555 S. Tucson Circle, Aurora, CO 80014 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Summit Brokerage Services Inc | Denver | CO | 08/2015 | 09/2019 |
| Cetera Wealth Services, Llc | El Segundo | CA | 09/2019 | Present |
| Summit Financial Group Inc | West Minster | CO | 01/2018 | 05/2021 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
(1) FINANCIAL & RETIREMENT PLANNING GROUP, 8774 YATES DR., WESTMINSTER, CO 80030. POSITION IS REGISTERED REP, INVESTMENT RELATED. START DATE 1/04. (2) UNIVERA, 1139 S. CHESTER STREET, DENVER, CO. 80247. NON-INVESTMENT RELATED. INDEPENDENT ASSOCIATE, NATURAL FOOD SUPPLEMENTS, ZERO HRS DURING TRADING HOURS AND 5 HOURS DURING NON-TRADING HOURS. TO INTRODUCE UNIVERA'S NATURAL FOOD SUPPLEMENTS TO PROSPECTIVE CUSTOMERS. JAN 2005
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-01-09 |
| S63 | Uniform Securities Agent State Law Examination | 2001-04-06 |
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