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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 | 2026-08-04 |
Branch Locations
1702 E Highland Ave Suite 204, Phoenix, AZ 85016 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tiaa | Champaign | IL | 08/2015 | 11/2020 |
| Tiaa-Cref Individual & Institutional Services, Llc | Champaign | IL | 08/2015 | 11/2020 |
| Cuna Brokerage Services, Inc | Waverly | IA | 08/2021 | 06/2026 |
| Alaska Usa Fcu | Tempe | AZ | 08/2021 | 06/2026 |
| Unemployed | Phoenix | AZ | 11/2020 | 08/2021 |
| Lpl Financial Llc | Tempe | AZ | 05/2022 | 06/2026 |
| Cetera Investment Services Llc | St Cloud | MN | 08/2026 | Present |
| Cetera Investment Advisors Llc | Phoenix | AZ | 08/2026 | Present |
| Unemployed | Cave Creek | AZ | 07/2026 | 07/2026 |
1. ARIZONA CAPITAL MANAGEMENT, DBA FOR CETERA BUSINESS
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-02-25 |
| S63 | Uniform Securities Agent State Law Examination | 2010-01-26 |
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