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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NM | RA | APPROVED | 2023-06-29 |
Branch Locations
336 Luna St Se, Los Lunas, NM 87031 • United States
7770 Jefferson St Ne Suite 405, Albuquerque, NM 87109 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rio Grande Insurance L.L.C | Los Lunas | NM | 10/2000 | Present |
| Cetera Wealth Services, Llc | El Segundo | CA | 01/2013 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1. SOLICITS FIXED INSURANCE PRODUCTS 25% OF TIME: TERM LIFE & HEALTH. 2. NM NOTARY. 3. NAME OF OTHER BUSINESS: RIO GRANDE FINANCIAL NETWORK INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATIOPN, NATURE OF BUSINESS: INSURANCE AGENCY AND DBA FOR CETERA ADVISOR NETWORKS START DATE: 01/09/2013, POSITION/TITLE/RELATIONSHIP: PRINCIPLE FOR PROPERTY AND CASUALTY, LIFE & HEALTH AGENCY. APX NUMBER OF HOURS PER WEEK: 40 HOURS APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: MEET WITH CLIENTS, SERVICE AND MONITOR POLICIES, AND/OR ACCOUNTS. 4. NAME OF OTHER BUSINESS: UNIVERSITY OF MEXICO-VALENCIA CAMPUS-DEVELOPMENT BOARD MEMBER INVESTMENT RELATED: NO ADDRESS: 280 LA ENTRADA LOS LUNAS, NM 87031 NATURE OF BUSINESS: SERVE AS A DEVELOPMENT BOARD MEMBER FOR LOCAL COMMUNITY COLLEGE. THE DEVELOPMENT BOARD WILL PUT TOGETHER COMMUNITY EVENTS (IE, GALA,GOLF TOURNAMENT) TO RAISE FUNDS FOR THE SCHOLARSHIP ENDOWMENT START DATE: 01/14/2013 POSITION/TITLE/RELATIONSHIP: UNIVERSITY OF NEW MEXICO-VALENCIA CAMPUS-DEVELOPMENT BOARD MEMBER APX NUMBER OF HOURS PER WEEK: 2 HOURS PER MONTH APX NUMBER OF HOURS DURING TRADING HOURS: N/A BRIEF DESCRIPTION OF DUTIES: DEVELOPMENT BOARD MEMBER. BI-MONTHLY MEETINGS AND OCCASIONALLY A MONTHLY GALA COMMITTEE MEETING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-10-18 |
| S63 | Uniform Securities Agent State Law Examination | 1996-06-10 |
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