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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2023-06-29 |
| TX | RA | APPROVED_RES | 2023-06-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Capital Street Financial | St Paul | MN | 02/2006 | Present |
| Voya Financial Advisors | St Paul | MN | 09/2014 | 06/2021 |
| Cetera Wealth Services, Llc | El Segundo | CA | 06/2021 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
(1) NAME OF ENTITY:CAPITAL STREET FINANCIAL SERVICES; YES; 82 E 7TH PLACE STE 275; ST PAUL; MN; 55101; INVESTMENTS, INSURANCE; FINANCIAL ADVISOR; 2/1/2006; 160; 160; FINANCIAL ADVISOR (2) NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; YES; 85 E 7TH PLACE #275; ST PAUL; MN; 55101; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 5/19/2010; 160; 160; SALES OF FIXED INSURANCE PRODUCTS
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-09-20 |
| S63 | Uniform Securities Agent State Law Examination | 1996-01-18 |
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