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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
TX RA APPROVED_RES 2025-04-01
WA RA APPROVED 2025-02-20
  • TX RA
    APPROVED_RES
    Since 2025-04-01
  • WA RA
    APPROVED
    Since 2025-02-20

Branch Locations

9725 3Rd Avenue Ne Suite 610, Seattle, WA 98115 • 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
Concourse Financial Group Securities Inc Seattle WA 09/2013 02/2025
(Dba) Time Value Investments Seattle WA 08/2013 Present
Concourse Financial Group Securities Inc Seattle WA 08/2017 02/2025
Cetera Wealth Services, Llc Seattle WA 02/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 02/2025 Present
  • 09/2013 → 02/2025
    Concourse Financial Group Securities Inc
    Seattle, WA
  • 08/2013 → Present
    (Dba) Time Value Investments
    Seattle, WA
  • 08/2017 → 02/2025
    Concourse Financial Group Securities Inc
    Seattle, WA
  • 02/2025 → Present
    Cetera Wealth Services, Llc
    Seattle, WA
  • 02/2025 → Present
    Schaumburg, IL
Previous Registrations
  • 2017-08-31 → 2025-02-20
    Concourse Financial Group Securities, Inc.
    Seattle, WA
    Birmingham, AL
Other Businesses

TIME VALUE INVESTMENTS; Investment related; 9725 3rd Avenue NE, Ste 610, Seattle WA 98115; Brokerage; Institutional Investment Sales; Start Date: 10/2016; 180 hours per month with 140 of those hours per month occurring during trading hours; Bond Sales-specializing in providing brokerage and management services, which includes securities, to public entities. >> WASHINGTON FINANCE OFFICERS ASSOCIATION; Non-investment related; 2601 4th Ave Suite 800, Seattle WA 98121; Non-Profit; Committee Member; Start Date 10/2016; 1 hour per month with that 1 hour occurring during trading hours; The Association is for public finance professionals in the state of Washington. My duties consist of helping plan the educational sessions at the Association's annual conference.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-08-31
S63 Uniform Securities Agent State Law Examination 2013-10-18
  • S66 Uniform Combined State Law Examination
    2017-08-31
  • S63 Uniform Securities Agent State Law Examination
    2013-10-18

View on SEC IAPD

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