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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
AR RA APPROVED 2021-07-28
  • AR RA
    APPROVED
    Since 2021-07-28

Branch Locations

3400 Harrison St, Batesville, AR 72501 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
First Allied Advisory Services, Inc. Schaumburg IL 10/2017 11/2020
First Allied Advisory Services Schaumburg IL 11/2020 07/2021
Harvest Investment Strategies, Llc Russellville AR 03/2012 07/2021
First Allied Securities, Inc. San Diego CA 07/2021 09/2022
First Allied Advisory Services Schaumburg IL 07/2021 09/2022
Cetera Advisors Llc Batesville AR 09/2022 Present
Mcgaha Investment Group Batesville AR 11/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 07/2021 Present
  • 10/2017 → 11/2020
    First Allied Advisory Services, Inc.
    Schaumburg, IL
  • 11/2020 → 07/2021
    First Allied Advisory Services
    Schaumburg, IL
  • 03/2012 → 07/2021
    Harvest Investment Strategies, Llc
    Russellville, AR
  • 07/2021 → 09/2022
    First Allied Securities, Inc.
    San Diego, CA
  • 07/2021 → 09/2022
    First Allied Advisory Services
    Schaumburg, IL
  • 09/2022 → Present
    Cetera Advisors Llc
    Batesville, AR
  • 11/2023 → Present
    Mcgaha Investment Group
    Batesville, AR
  • 07/2021 → Present
    Schaumburg, IL
Previous Registrations
  • 2020-11-12 → 2021-07-06
    Russellville, AR
  • 2017-10-03 → 2020-11-12
    First Allied Advisory Services, Inc.
    Russellville, AR
Other Businesses

1) NAME OF OTHER BUSINESS: MCGAHA INVESTMENT GROUP, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 11/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2) NOTARY PUBLIC; NOTARY; ATTORNEY/PARALEGAL/NOTARY SERVICES; START DATE: 10/18/2021; 4 HOURS PER MONTH. 3) NAME OF OTHER BUSINESS: THE GIDEONS INTERNATIONAL (BATESVILLE CAMP) INVESTMENT RELATED: NO, ADDRESS: 3400 HARRISON ST, BATESVILLE, AR 72501, NATURE OF BUSINESS: NON-PROFIT, START DATE: 07/2021, POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT & MEMBERSHIP CHAIRMAN, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 0, BRIEF DESCRIPTION OF DUTIES: FULFILL THE ROLES OF THE PRESIDENT WHENEVER THE PRESIDENT IS UNABLE TO DO SO, FUNCTION AS THE MEMBERSHIP CHAIRMAN, WHO IS RESPONSIBLE FOR LEADING THE CAMP'S ACTIVITIES RELATED TO BUILDING AND MAINTAINING MEMBERSHIP (RECRUITMENT); 4) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 07/2022, APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT , BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, AND FIXED ANNUITIES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-09-25
S63 Uniform Securities Agent State Law Examination 2010-06-23
  • S65 Uniform Investment Adviser Law Examination
    2017-09-25
  • S63 Uniform Securities Agent State Law Examination
    2010-06-23
Other Names
  • Jacob Higgins

View on SEC IAPD

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