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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| HI | RA | APPROVED | 2023-06-29 |
Branch Locations
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 |
|---|---|---|---|---|
| Vsr Financial Services, Inc. | Overland Park | KS | 12/2015 | 09/2016 |
| Vsr Advisory Services | Overland Park | KS | 12/2015 | 09/2016 |
| Hawaii Financial Advisors, Inc. | Honolulu | HI | 12/2015 | Present |
| Summit Brokerage Services, Inc. | Honolulu | HI | 09/2016 | 09/2019 |
| Cetera Wealth Services, Llc | El Segundo | CA | 09/2019 | Present |
| Summit Financial Group | El Segundo | CA | 09/2016 | 05/2021 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
| Cetera Advisor Networks Llc | El Segundo | CA | 05/2021 | 06/2023 |
(1) Melaleuca, Inc; Non Investment related; Start Date 08/01/2012; 4609 West 65th South, Idaho Falls ID 83402; Wellness Advocate; Share company and products with others and enroll interested members; 2 Hours a month 0 during trading (2) Hawaii Financial Advisors, Inc; DBA name; Investment related; Start Date 12/15/2015; Address same as branch; 160 Hours a month 2 during trading (3) doTerra International, LLC; Non Investment related; Start Date 09/30/2016; 389 South 1300 West, Pleasant Grove UT 84062; Wellness Advocate; Share company and products with others and enroll interested members; 15 Hours a month 0 during trading; (4) Kalihi YMCA; Not investment related; 1335 Kalihi St., Honolulu, HI 96819; Charity/Non-profit; Member-Board of Managers; Started 11/1/2017; Apx. 8 hours/month, none during trading; Attend monthly Board of Managers meetings and support YMCA (Kalihi Branch) initiatives through volunteerism in community outreach programs and services centered around three areas of focus: Youth Development, Healthy Living and Social Responsibility. (5) Highland Capital Brokerage; Investment related; 1003 Bishop St Suite 850, Honolulu, HI 96813; Life insurance; Independent agent; Started 12/7/2017; Apx. 10-15 hours/month, apx. 1-5 during trading; Highland Capital assists agents in finding appropriate fixed insurance solutions for clients. Fixed insurance could include term insurance group term insurance, cash value insurance (not including variable life), and long-term care. (6) Rental property; Not investment related; 2087 N St Bonita Ln, Casa Grande, AZ 85122; Owner; Started 8/15/2007; Apx 1 hour/month, none during trading; Property is managed by a property management company. My involvement is minimal; authorization required for repairs costing $200 or more. (7)BNI HAWAII KAO CHAPTER; NOT INVESTMENT RELATED; 436 KEOLU DR KAILUA, HI 96734; BUSINESS NETWORKING ORGANIZATION; PRESIDENT; 11/01/2017; APPX 16 HOURS/MONTH; APPX 8 HOURS/MONTH DURING TRADING; Manage weekly meetings following BNI Agenda, Chair Leadership Team meetings, manage member roles and responsibilities, announce networking events, ensure BNI policies and procedures are followed, manage member conflicts. (8) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 9/2020; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-11-20 |
| S63 | Uniform Securities Agent State Law Examination | 2006-06-23 |
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