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14600 Branch St., Omaha, NE 68154 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NE | RA | APPROVED | 2023-09-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Securities America Inc. | La Vista | NE | 09/2016 | 09/2023 |
| Unemployed | Bellevue | NE | 05/2016 | 09/2016 |
| Cetera Wealth Services, Llc | El Segundo | CA | 09/2023 | Present |
| Cwm, Llc Dba Carson Group Partners | Omaha | NE | 09/2023 | Present |
| Cwm, Llc Dba Carson Wealth Management Group | Omaha | NE | 09/2023 | Present |
1.NAME OF OTHER BUSINESS: CWM, LLC DBA CARSON WEALTH MANAGEMENT GROUP, CARSON GROUP PARTNERS AND CARSON GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM THAT PROVIDES PORTFOLIO MANAGEMENT, FINANCIAL PLANNING, ESTATE PLANNING AND ADDITIONAL ADVISORY SERVICES POSITION/TITLE/RELATIONSHIP: Senior Surveillance Analyst START DATE: 09/05/2023 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: I develop and run surveillance reports to satisfy regulatory and firm obligations. 2. NAME OF OTHER BUSINESS: CWM, LLC DBA CARSON GROUP PARTNERS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM THAT PROVIDES PORTFOLIO MANAGEMENT, FINANCIAL PLANNING, ESTATE PLANNING AND ADDITIONAL ADVISORY SERVICES POSITION/TITLE/RELATIONSHIP: Senior Surveillance Analyst START DATE: 09/2023 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: I develop and run surveillance reports to satisfy regulatory and firm obligations.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-03-05 |
| S63 | Uniform Securities Agent State Law Examination | 2007-02-16 |
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