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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-04-14 |
| CA | RA | APPROVED | 2023-03-27 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Pleasanton | CA | 12/2015 | 09/2019 |
| Bank Of America, N.A. | Pleasanton | CA | 02/2017 | 09/2019 |
| Citigroup | San Ramon | CA | 09/2019 | 03/2023 |
| Cetera Investment Services Llc | St Cloud | MN | 03/2023 | Present |
| Uncle Credit Union | Livermore | CA | 03/2023 | Present |
| Cetera Investment Advisers Llc | Livermore | CA | 03/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-10-07 |
| S63 | Uniform Securities Agent State Law Examination | 2014-10-27 |
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