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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 |
| WV | RA | APPROVED | 2023-06-29 |
Branch Locations
2 disclosure categories 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 |
|---|---|---|---|---|
| Summit Financial Group Inc | Charleston | WV | 09/2014 | 05/2021 |
| Summit Brokerage Services Inc | Charleston | WV | 09/2014 | 09/2019 |
| Cetera Wealth Services, Llc | El Segundo | CA | 09/2019 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
(1) - - WEST POINT THOROUGHBREDS - - NOT INVESTMENT RELATED - 2 Smith Bridge Road, Saratoga Springs NY 12866 -PARTNER IN THE OWNERSHIP OF THOROUGHBRED RACEHORSE - - LIMITED PARTNER-STARTED 05/07- 10 hours a month - 0 HRS DURING TRADING HOURS-FINANCIAL OBLIGATION ONLY (2) - - SOUTH SHORE INVESTMENT ADVISORS-DBA - INVESTMENT RELATED - - at registered branch office --STARTED 7/1/2007 -100 HRS A MONTH - - 70 DURING TRADING HOURS (3) NAME OF OTHER BUSINESS: CRAIK PATTON HOUSE; INVESTMENT RELATED: NO ; ADDRESS: 2809 KANAWHA BLVD E CHARLESTON, WV 25311; NATURE OF BUSINESS: NON PROFIT; START DATE: 07/2026; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: VOTE ON ISSUES TO GUIDE THE GROWTH OF THIS ORGANIZATION;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-04-20 |
| S63 | Uniform Securities Agent State Law Examination | 1994-12-01 |
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