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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2023-06-29
TX RA APPROVED_RES 2023-06-29
  • OH RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED_RES
    Since 2023-06-29

Branch Locations

6200 Rockside Rd, Cleveland, OH 44131 • United States

Vantage Financial Group, Inc.

6200 Rockside Road, Cleveland, OH 44131 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-01-22
OH RA APPROVED 2000-01-01
  • TX RA
    APPROVED
    Since 2021-01-22
  • OH RA
    APPROVED
    Since 2000-01-01

Branch Locations

6200 Rockside Road Suite 100, Cleveland, OH 44131 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Vantage Financial Group, Inc. Cleveland OH 05/1999 Present
Cetera Wealth Services, Llc El Segundo CA 09/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Previous Registrations
  • 2010-03-23 → 2013-09-03
    Walnut Street Securities, Inc.
    Cleveland, OH
    Cleveland, OH
Other Businesses

(1) INDEPENDENT INSURANCE AGENT, (DISABILITY, FIXED ANNUITIES, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE), 15 SECURITIES TRADING HOURS WEEKLY, 0 NON SECURITIES, START DATE 5/2000; (2) VANTAGE FINANCIAL GROUP, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, DBA NAME FOR FINANCIAL SERVICES, START 01/01/2013, 2HRS/WK (TRADING HOURS), PART OWNER, REGISTERED REPRESENTATIVE; (3) VANTAGE FINANCIAL GROUP 401(K) PLAN, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, 401(K) PLAN FOR VANTAGE FINANCIAL GROUP, START 10/24/2011, 2HRS/WK (TRADING HOURS), TRUSTEE - SIGNING AUTHORITY & DECISION MAKER; (4) NAME OF OTHER BUSINESS: VANTAGE FINANCIAL GROUP ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: ADVISORY BUSINESS ; POSITION/TITLE/RELATIONSHIP: ADVISORY REPRESENTATIVE ; START DATE: 01/2000 ; APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING & ASSET MANAGEMENT ;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2006-10-09
  • S63 Uniform Securities Agent State Law Examination
    2006-10-09

View on SEC IAPD

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