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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2021-02-10 |
| MI | RA | APPROVED | 2020-11-12 |
| TX | RA | APPROVED_RES | 2020-11-12 |
Branch Locations
12174 N. 138Th Way, Scottsdale, AZ 85259 • United States
316 Morris Avenue Ste 440, Muskegon, MI 49440 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Allied Securities | San Diego | CA | 03/2003 | 09/2022 |
| First Allied Advisory Services, Inc. | Chesterfield | MO | 07/2012 | 11/2020 |
| First Allied Advisory Services | Schaumburg | IL | 11/2020 | 11/2020 |
| Cetera Advisors Llc | Scottsdale | AZ | 09/2022 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 11/2020 | Present |
1.) INVESTMENT MANAGEMENT GROUP; SOLE OWNER; DBA
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-10-21 |
| S63 | Uniform Securities Agent State Law Examination | 1996-01-29 |
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