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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OK | RA | APPROVED | 2024-03-21 |
| TX | RA | APPROVED | 2024-03-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bok Financial Securities, Inc. | Grove | OK | 08/2016 | 07/2018 |
| Bokf, Na | Grove | OK | 08/2016 | 07/2018 |
| Cetera Advisors Llc | Denver | CO | 07/2018 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | Present |
1. N/A, NOT INVESTMENT RELATED, 23401 S 690 RD, WYANDOTTE, OK 74870, FAMILY RANCH, STARTED 07/2018, POSITION/TITLE/RELATIONSHIP: OPERATIONS, APX 20 HOURS PER WEEK, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: DAY TO DAY MAINTENANCE OF FARM 2.FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FIXED INSURANCE, START DATE 09/2019, NSURANCE AGENT, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, SELLS LIFE, AND LONG TERM CARE 3. NAME OF OTHER BUSINESS: TAURUS INVESTMENTS LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 10/2020; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-09-26 |
| S63 | Uniform Securities Agent State Law Examination | 2015-03-11 |
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