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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 | 2025-03-17 |
| PA | RA | APPROVED | 2014-01-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Honesdale National Bank | Honesdale | PA | 05/2013 | Present |
| Cetera Investment Services Llc | St.CLoud | MN | 05/2013 | Present |
| Cetera Investment Advisers Llc | Honesdale | PA | 01/2014 | Present |
1.)TRUSTEE OF IRREVOCABLE LIFE INSURANCE TRUST FOR JOHN AND CONSTANCE CARMODY (BROTHER & SISTER IN LAW). MONITOR PREMIUM PAYMENTS AND REVIEW ANNUAL STATEMENTS. 1 HOUR ANNUALLY, COMMISSION FROM LIFE POLICY. 3.) REFERRALS TO TRUST DEPARTMENT OF BANK
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-03-19 |
| S63 | Uniform Securities Agent State Law Examination | 1998-12-30 |
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