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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-07-21 |
Branch Locations
12531 High Bluff Dr Ste 400, San Diego, CA 92130 • United States
4655 Executive Dr 10Th Fl [Vj-Rbo], San Diego, CA 92121 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Financial Specialists Llc | Schaumburg | IL | 06/2013 | 04/2020 |
| Cetera Adviser Networks Llc | El Segundo | CA | 06/2013 | 04/2020 |
| Cetera Advisors Llc | Denver | CO | 06/2013 | 04/2020 |
| Cetera Investment Services | Saint Cloud | MN | 06/2013 | 04/2020 |
| First Allied Securities, Inc. (Fasi) | San Diego | CA | 06/2013 | 04/2020 |
| Summit Brokerage Services, Inc. | Boca Raton | FL | 06/2013 | 04/2020 |
| Thomas Stewart | San Diego | CA | 06/2020 | 07/2021 |
| Northwestern Mutual Investment Services, Llc | San Diego | CA | 06/2020 | 07/2021 |
| Wells Fargo Clearing Services, Llc | San Diego | CA | 07/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-02-01 |
| S63 | Uniform Securities Agent State Law Examination | 2010-07-09 |
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