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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 | 2024-03-21 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pennington, Bass & Associates | Lubbock | TX | 11/1977 | Present |
| Cetera Advisors Llc | Denver | CO | 01/2013 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | Present |
1.FIXED INSURANCE, LIFE/HEALTH/DISABILITY ANNUITIES/LONG-TERM CARE 2. NAME OF OTHER BUSINESS: PENNINGTON, BASS & ASSOCIATES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: COMPREHENSIVE FINANCIAL PLANNING START DATE: 1/2011 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF TRADING HOURS PER WEEK: 32.5 POSITION/TITLE/RELATIONSHIP: CFP & AIF BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES| 3. LUBBOCK DOWNTOWN DEVELOPMENT CORPORATION, NOT INVESTMENT RELATED, ADDRESS IS THE REGISTERED LOCATION, START JANUARY 2013, REAL ESTATE DEVELOPMENT, BOARD MEMBER, 1HR/WK. 4. NAME OF OTHER BUSINESS: CA'SANTUCCIO LLC ; INVESTMENT RELATED: NO ; ADDRESS: 701 DRY BRIDGE ROAD, CHARLOTTESVILLE, VA 22903 ; NATURE OF BUSINESS: VACATION HOME ; START DATE: 01/1998 ; POSITION/TITLE/RELATIONSHIP: CO-OWNER / MANAGER ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; BRIEF DESCRIPTION OF DUTIES: COORDINATE SCHEDULES OF OTHER OWNERS AND ARRANGE FOR MAINTENANCE AND REPAIRS ; 5. NAME OF OTHER BUSINESS: COMMUNITY FOUNDATION OF WEST TEXAS; INVESTMENT RELATED: NO; ADDRESS: 6102 82ND STREET SUITE 8B LUBBOCK, TX 79424; NATURE OF BUSINESS: NON PROFIT; START DATE: 01/2022; POSITION/TITLE/RELATIONSHIP: INVESTMENT COMMITTEE CHAIR; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: SET MEETING AND AGENDAS, REVIEW FINANCIALS AND INVESTMENTS TO SUBMIT TO BOARD FOR VOTE AND DECISION;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1990-08-27 |
| S63 | Uniform Securities Agent State Law Examination | 1979-09-04 |
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