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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MD | RA | APPROVED | 2014-01-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First United Bank & Trust | Oakland | MD | 10/2004 | Present |
| Cetera Investment Services | St. Cloud | MN | 07/2007 | Present |
| Cetera Investment Advisers Llc | Cumberland | MD | 01/2014 | Present |
1.)FIRST UNITED BANK & TRUST, TRUST OFFICER, DOES NOT PROVIDE INVESTMENT ADVICE, PLACE TRAEDS OR EXECUTE DISCRETION REGARDING INVESTMENTS 2.)CUMBERLAND HOUSING ALLIANCE CHAIRMAN. 3.) HOUSING AUTHORITY CITY OF CUMBERLAND VICE CHAIRMAN. ATTEND BOARD MEETINGS 3 HRS/BIMONTHLY.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-12-28 |
| S63 | Uniform Securities Agent State Law Examination | 2007-12-03 |
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