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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 | 2021-09-10 |
| CA | RA | APPROVED | 2020-11-12 |
Branch Locations
915 Highland Pointe Dr Suite #250, Roseville, CA 95678 • United States
1817 Maryal Drive Suite 100, Sacramento, CA 95864 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Allied Securities, Inc. | San Diego | CA | 12/1994 | 09/2022 |
| Finra | Roseville | CA | 10/1997 | Present |
| Sierra College | Roseville | CA | 08/1998 | 06/2023 |
| First Allied Advisory Services, Inc. | Chesterfield | MO | 07/2012 | 11/2020 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 11/2020 | Present |
| Cetera Advisors Llc | Sacramento | CA | 09/2022 | Present |
1.)FINRA; ARBITRATION; START DATE:10/01/1997. 2.)SACRAMENTO SENATOR LIONS CLUB; MEMBER; NON-PROFIT ORGANIZATION; START DATE:1/1/1991. 3.)CAPITAL LEGACY INVESTEMENTS, LLC; REAL ESTATE. 4.) WOODCREEK WEALTH MANAGEMENT; OWNER; ONLY OFFERS CETERA ADVISORS PRODUCTS/SERVICES; 160 HOURS PER MONTH 5.) NAME OF OTHER BUSINESS: FIRST US COMMUNITY CREDIT UNION; INVESTMENT RELATED: NO; ADDRESS: 580 UNIVERSITY AVENUE, SACRAMENTO, CA 95825; NATURE OF BUSINESS: BOARD; START DATE: 10/2025; POSITION/TITLE/RELATIONSHIP: ASSOCIATE BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: POLICY AND GOVERNANCE AS IT RELATES TO THE BUSINESS OF THE CREDIT UNION;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-09-15 |
| S63 | Uniform Securities Agent State Law Examination | 1994-09-06 |
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