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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2023-06-29 |
| TX | RA | APPROVED_RES | 2023-06-29 |
Branch Locations
408 Front St, Geneva, IA 50633 • United States
2504 S 2Nd St, Marshalltown, IA 50158 • United States
103 E Center St, Conrad, IA 50621 • 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 |
|---|---|---|---|---|
| Grundy National Bank | Grundy Center | IA | 07/2006 | Present |
| Cetera Wealth Services, Llc | El Segundo | CA | 01/2013 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES POSITION/TITLE/RELATIONSHIP: REPRESENTATIVE BRIEF DESCRIPTION OF DUTIES: SELLS FIXED LIFE, ANNUITIES AND LONG TERM CARE; 2. NAME OF OTHER BUSINESS: GNB BANK, DBA GNB INVESTMENTS, INVESTMENT RELATED: YES, NATURE OF BUSINESS: BANK, ADDRESS: 603 7TH ST. GRUNDY CENTER, IA 50638, APPROX. # OF HOURS PER MONTH: 160, POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR, BRIEF DESCRIPTION OF DUTIES: FINANCIAL ADVISOR ADVISING CLIENTS;
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1994-07-08 |
| S65 | Uniform Investment Adviser Law Examination | 1994-07-06 |
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