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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 | 2023-06-29 |
| WY | RA | APPROVED | 2023-06-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Wealth Services, Llc | El Segundo | CA | 01/2013 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1. WEALTH MANAGEMENT GROUP, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, DBA NAME FOR SECURITIES BUSINESS, START 01/2014, >70HRS/WK (32.5 TRADING HOURS), DBA NAME; 2. NAME OF OTHER BUSINESS: RICHARD WONKA TRUSTEE, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: TRUSTEE FOR COUSINS TRUST, START DATE: 11/04/2012, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: TRUSTEE FOR COUSIN'S ACCOUNT; 3. NAME OF OTHER BUSINESS: BUFFALO SWIM CLUB ; INVESTMENT RELATED: NO ; ADDRESS: 101 KLONDIKE DRIVE BUFFALO NY 82834 ; NATURE OF BUSINESS: BOARD OF DIRECTORS ; START DATE: 10/2018 ; POSITION/TITLE/RELATIONSHIP: BOARD PRESIDENT ; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; BRIEF DESCRIPTION OF DUTIES: RUN MEETINGS, OVERSEE CLUB AND SWIM MEETS ;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-15 |
| S63 | Uniform Securities Agent State Law Examination | 1994-05-17 |
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