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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 2026-01-06
OH RA APPROVED 2023-06-29
  • TX RA
    APPROVED_RES
    Since 2026-01-06
  • OH RA
    APPROVED
    Since 2023-06-29

Branch Locations

6200 Rockside Rd, Cleveland, OH 44131 • United States

Vantage Financial Group, Inc.

6200 Rockside Road, Cleveland, OH 44131 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2017-04-11
  • OH RA
    APPROVED
    Since 2017-04-11

Branch Locations

6200 Rockside Road, Cleveland, OH 44131 • 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
Vantage Financial Group Inc Independence OH 07/2014 Present
Cetera Wealth Services, Llc El Segundo CA 08/2014 Present
Vantage Financial Group Inc Cleveland OH 04/2017 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Vantage Tax Services Shaker Heights OH 10/2015 Present
Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 08/2014 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY AND ANNUITIES 2. NAME OF OTHER BUSINESS: VANTAGE FINANCIAL GROUP, INC. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 07/2014 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES 3. NAME OF OTHER BUSINESS: VANTAGE TAX SERVICES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: TAX PREP START DATE: 10/2015 POSITION/TITLE/RELATIONSHIP: REFERRER APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: INTAKE OF CLIENT TAX DOCS FOR THIRD PARTY TAX PREP AND SUBMISSION 4. NAME OF OTHER BUSINESS: VANTAGE FINANCIAL GROUP INC. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADVISORY BUSINESS POSITION/TITLE/RELATIONSHIP: ADVISORY REPRESENTATIVE START DATE: 04/2017 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: PORTFOLIO MANAGEMENT, FINANCIAL PLANNING AND CONSULTING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-06-26
  • S66 Uniform Combined State Law Examination
    2021-06-26

View on SEC IAPD

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