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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-06-29 |
Branch Locations
1895 Walt Whitman Rd Ste 6, Melville, NY 11747 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| North Ridge Securities Corp. | Melville | NY | 07/1990 | 02/2019 |
| North Shore Capital Mgmt. Corp. | Melville | NY | 09/1990 | Present |
| Cetera Wealth Services, Llc | Melville | NY | 02/2019 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1. NAME OF OTHER BUSINESS: NORTH RIDGE WEALTH PLANNING LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 2/2019 POSITION/TITLE/RELATIONSHIP: ADVISOR - FINANCIAL SERVICES APX NUMBER OF HOURS PER WEEK: 20-30 APX NUMBER OF HOURS DURING TRADING HOURS: 20-30 BRIEF DESCRIPTION OF DUTIES: ADVISOR - FINANCIAL SERVICES
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-06-19 |
| S63 | Uniform Securities Agent State Law Examination | 1992-07-02 |
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