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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ND | RA | APPROVED | 2025-02-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Concourse Financial Group Securities Inc | Mandan | ND | 04/2016 | 02/2025 |
| (Dba) Huck Financial (Schafer Financial Group) | Mandan | ND | 05/2006 | Present |
| Cetera Wealth Services, Llc | Mandan | ND | 02/2025 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 02/2025 | Present |
1) (dba) HUCK FINANCIAL; Investment Related; 402 1st Street NW, P O Box 336, Mandan, ND 58554; Insurance and Financial Services; Producer/Owner; Start Date 10/2019; 160 hours per month with all hours occurring during trading hours; Investments, Retirement & Financial Planning, and Wealth Management. 2) SCHAFER FINANCIAL GROUP; Investment Related; 402 1st Street NW, PO BOX 336, Mandan ND 58554; Holding Company that owns Huck Financial; Owner; Start Date 10/2019; 160 hours per month with all hours per month occurring during trading hours. 3) INDEPENDENT INSURANCE AGENT; Investment Related; 402 1st Street NW, PO BOX 336, Mandan ND 58554; Insurance Sales; Agent; Start Date 2006; 10-15 hours per month with all hours per month occurring during trading hours; Sales and service of life, long term care, and disability insurance products. 4) MANDAN HOCKEY CLUB; Non-investment Related; 905 8th Avenue NW, Mandan, ND 58554; Hockey; Coach; Start Date 01/2006; 5 hours per month with no hours per month during trading hours; Provide curriculum and coach.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-05-21 |
| S63 | Uniform Securities Agent State Law Examination | 2006-05-30 |
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