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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AR | RA | APPROVED | 2021-07-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-09-25 |
| S63 | Uniform Securities Agent State Law Examination | 2010-06-23 |
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