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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 | 2023-02-27 |
| NJ | RA | APPROVED | 2017-05-31 |
Branch Locations
201 West Passaic Street Suite 301, Rochelle Park, NJ 07662 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Financial Specialists Llc | Schaumburg | IL | 10/2005 | Present |
| Cetera Investment Advisers, Llc | Schaumburg | IL | 05/2017 | Present |
1) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 9/2017 POSITION/TITLE/RELATIONSHIP: AGENT APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: SELLING DISABILITY 2) NAME OF OTHER BUSINESS: HOLSTEIN COURT ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS RESIDENTIAL LOCATION ; NATURE OF BUSINESS: CO-OP HOUSING ; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER ; START DATE: 01/2020 ; APX NUMBER OF HOURS PER WEEK: 2 ; APX NUMBER OF HOURS DURING TRADING HOURS: 2 ; BRIEF DESCRIPTION OF DUTIES: WORKING WITH OTHER BOARD MEMBERS TO IMPROVE BUILDING AND HANDLE MAINTENANCE ;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-04-03 |
| S63 | Uniform Securities Agent State Law Examination | 1997-12-10 |
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