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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-09-06 |
Branch Locations
3301 Benson Drive Suite 302, Raleigh, NC 27609 • United States
Charlotte, NC • United States
6135 Park South Drive Suite 500, Charlotte, NC 28210 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Nova 401(K) Associates | Charlotte | NC | 02/2016 | 05/2024 |
| Cetera Advisor Networks Llc | El Segundo | CA | 04/2024 | 07/2024 |
| Cetera Wealth Services, Llc | El Segundo | CA | 07/2024 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 09/2024 | Present |
1. NAME OF OTHER BUSINESS: VIRGINIA ASSET MANAGEMENT; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 05/2024; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 35; BRIEF DESCRIPTION OF DUTIES: FINANCIAL ADVISOR; 2. NAME OF OTHER BUSINESS: VAM PARTNERS, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 11/2025, 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;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-09-04 |
| S63 | Uniform Securities Agent State Law Examination | 2014-02-05 |
| S63 | Uniform Securities Agent State Law Examination | 2014-02-05 |
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