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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 | 2024-03-04 |
| WI | RA | APPROVED | 2008-11-20 |
Branch Locations
37 North Pioneer Rd, Fond Du Lac, WI 54935 • United States
Fond Du Lac, WI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Huberty And Associates S.C. | Fond Du Lac | WI | 08/2008 | 09/2023 |
| Cetera Financial Specialists Llc | Schaumburg | IL | 08/2008 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 08/2008 | Present |
| Huberty Holdings. Llc | Fond Du Lac | WI | 01/2022 | 12/2025 |
| Huberty Holdings. Llc, Ii | Fond Du Lac | WI | 01/2022 | 12/2025 |
| Huberty & Associates S.C, Dba Vesta | Fond Du Lac | WI | 09/2023 | Present |
| Vesta Cpas Sc Dba Vesta | Fond Du Lac | WI | 10/2025 | Present |
| Strategic Investments, Inc | Fond Du Lac | WI | 01/2019 | Present |
1) NAME OF OTHER BUSINESS: VESTA CPAS SC DBA VESTA; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX & ACCOUNTING; START DATE: 8/2025; POSITION/TITLE/RELATIONSHIP: TAX PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 20; BRIEF DESCRIPTION OF DUTIES: TAX AND ACCOUNTING SERVICES; 2) NAME OF OTHER BUSINESS: VESTA, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 09/2023, POSITION/TITLE/RELATIONSHIP: PART OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 3) COPS FOR KIDS FOUNDATION, INC., NOT INVESTMENT RELATED, 126 N MAIN ST., FOND DU LAC, WI 54935, NON-PROFIT, STARTED 4/2017, POSITION/TITLE/RELATIONSHIP: TREASURER, LESS THAN 2 HOURS PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: PROVIDE SCHOLARSHIPS, SUPPLIES AND ACTIVITIES TO NEEDY CHILDREN 4) NAME OF OTHER BUSINESS: STRATEGIC INVESTMENTS, INC, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: EXPENSE MANAGEMENT, START DATE: 01/2019, POSITION/TITLE/RELATIONSHIP: OWNER, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: FILE TAX RETURNS, MANAGE OPERATING EXPENSES: 5) NAME OF OTHER BUSINESS: SOUTHHILLS GOLF & COUNTRY CLUB ; INVESTMENT RELATED: NO; ADDRESS: 1175 FOND DU LAC AVE, FOND DU LAC, WI 54935; NATURE OF BUSINESS: BOARD; START DATE: 11/2025; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER/TREASURER ; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: OVERSEE OUR FINANCE COMMITTEE AND SUPPORT OUR CLUBS CONTROLLER IN REVIEWING FINANCIAL STATEMENTS AND ANYTHING FINANCIAL RELATED THAT MAY COME UP 6) NAME OF OTHER BUSINESS: MORAINE PARK TECHNICAL COLLEGE FOUNDATION INC.; INVESTMENT RELATED: NO; ADDRESS: 235 N. NATIONAL AVE FOND DU LAC WI 54935; NATURE OF BUSINESS: AWARD SCHOLARSHIPS TO STUDENTS; START DATE: 01/2017; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: .10; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: MEMBER OF THE BOARD;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-11-19 |
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