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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-02-20
  • TX RA
    APPROVED
    Since 2025-02-20

Branch Locations

1600 Highway 6 Suite 400, Sugar Land, TX 77478 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
3 Mark Financial Houston TX 02/1987 Present
Concourse Financial Group Securities Inc Houston TX 08/1995 02/2025
3 Mark Equities Inc Sugar Land TX 02/2001 Present
Cetera Wealth Services, Llc Sugar Land TX 02/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 02/2025 Present
  • 02/1987 → Present
    3 Mark Financial
    Houston, TX
  • 08/1995 → 02/2025
    Concourse Financial Group Securities Inc
    Houston, TX
  • 02/2001 → Present
    3 Mark Equities Inc
    Sugar Land, TX
  • 02/2025 → Present
    Cetera Wealth Services, Llc
    Sugar Land, TX
  • 02/2025 → Present
    Schaumburg, IL
Previous Registrations
  • 1997-03-24 → 2025-02-20
    Concourse Financial Group Securities, Inc.
    Houston, TX
    Rockwall, TX
    Kingwood, TX
    Hallettsville, TX
    Sugar Land, TX
    Graham, TX
    Huntsville, TX
    Houston, TX
    Spring, TX
    Victoria, TX
    Edna, TX
    Cuero, TX
    Fort Worth, TX
    Goodyear, AZ
    The Woodlands, TX
    Vista, CA
    Twin Falls, ID
    Grapevine, TX
    Escondido, CA
    Birmingham, AL
Other Businesses

(dba) 3 MARK FINANCIAL INC; Investment Related; 1600 Highway 6, Sugar Land, TX 77478; Recruiting/Marketing; President; Start Date 01/1987; 200 hours per month; Meet with life insurance agents to affiliate them with 3 Mark and to market 3 Mark carriers and services. >> 3 MARK FINANCIAL INC; Non-Investment Related; 1600 Highway 6, Sugar Land, TX 77478; Other; Advisory Committee-Director; Start Date 01/2005; 1 hour, more or less, per month. >> 3 MARK FINANCIAL INC; Investment Related; 1600 Highway 6, Sugar Land, TX 77478; Insurance; Producer; 1 hour per month; Offer annuity products with varied insurance carriers. >> Bill PROPPER; Investment Related; Sugar Land, TX; Brokerage; President; Start Date 04/2019; 1 hour, more or less, per month with that (those) hour(s) occurring during trading hours; Brokerage of life settlements. >> STRUCTURED SETTLEMENTS; Investment Related; Sugar Land, TX; Other; Producer; Start Date 12/2024; 1 hour per month with that 1 hour occurring during trading hours; Offer life settlements.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-21
S63 Uniform Securities Agent State Law Examination 1997-03-21
  • S65 Uniform Investment Adviser Law Examination
    1999-12-21
  • S63 Uniform Securities Agent State Law Examination
    1997-03-21
Other Names
  • William Henry Iii Propper

View on SEC IAPD

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