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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2022-08-16 |
Branch Locations
5777 W Century Blvd Ste 1580, Los Angeles, CA 90045 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Avantax Investment Services, Inc. | Los Angeles | CA | 01/1996 | 08/2022 |
| Avantax Advisory Services | Los Angeles | CA | 10/1996 | 08/2022 |
| Richard Moon & Associates Accountancy Corp | Los Angeles | CA | 02/1989 | Present |
| Rma Wealth Advisors | Los Angeles | CA | 01/1997 | Present |
| Cetera Financial Specialists Llc | Schaumburg | IL | 08/2022 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 08/2022 | Present |
1) RMA WEALTH ADVISORS; LOS ANGELES, CA; INVESTMENT RELATED; DBA FOR INVESTMENT SERVICES; OWNER/SOLE PROPRIETOR; SINCE 01/1997; 48 HRS/MO 2) RICHARD MOON & ASSOCIATES ACCOUNTANCY CORP; LOS ANGELES, CA; NON-INVESTMENT RELATED; ACCOUNTING SERVICES; PARTNER/MANAGE FIRM; 160 HRS/MO, SINCE 02/1989
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-11-22 |
| S63 | Uniform Securities Agent State Law Examination | 1996-06-25 |
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