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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-06-29 |
| TX | RA | APPROVED_RES | 2023-06-29 |
Branch Locations
2530 Douglas Blvd Ste 100, Roseville, CA 95661 • 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 |
|---|---|---|---|---|
| Cetera Wealth Services, Llc | El Segundo | CA | 01/2013 | Present |
| Smith-Mottini Financial Advisors | Roseville | CA | 04/2005 | 12/2018 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1. NAME OF OTHER BUSINESS: PLAN WELL LIVE WELL ; INVESTMENT RELATED: YES ; ADDRESS: 2530 DOUGLAS BLVD SUITE 100 ROSEVILLE CA 95661; NATURE OF BUSINESS: FINANCIAL PLANNING & MANAGING CLIENT PORTFOLIOS ; START DATE: 12/2018 ; POSITION/TITLE/RELATIONSHIP: OWNER ; APX NUMBER OF HOURS PER WEEK: 50 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: ORGANZING, FORMALIZING, IMPLEMENTING & MONITORING CLIENT PORTFOLIOS ; 2. FIXED INSURANCE PRODUCTS: LIFE, ANNUITIES, AND LTC ; 3. NAME OF OTHER BUSINESS: OFFICE SPACE RENTAL; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: OFFICE SPACE RENTAL; START DATE: 12/2019; POSITION/TITLE/RELATIONSHIP: LANDLORD; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: COLLECTING RENT;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-10-20 |
| S63 | Uniform Securities Agent State Law Examination | 1995-07-31 |
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