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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2025-05-14 |
Branch Locations
15 N Main St Ste 101, West Hartford, CT 06107 • United States
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 |
|---|---|---|---|---|
| Spc | Ann Arbor | MI | 05/2011 | 05/2025 |
| Parkland Securities | Ann Arbor | MI | 08/2014 | 05/2025 |
| Cetera Financial Specialists Llc | Schaumburg | IL | 05/2025 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 05/2025 | Present |
1) RECEIVE RENEWAL REVENUE ON LIFE INSURANCE CONTRACTS, NOT INVESTMENT RELATED, 5H/WEEK, SINCE 11/1972 2) GENT FINANCIAL GROUP, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, MANAGING MEMBER, CHIEF OPERATING OFFICER, OWNER, PROVIDE FINANCIAL SERVICES, SECURITIES, INSURANCE, LIFE, HEALTH AND ANNUITIES, SINCE 09/2006, 16H/WEEK. 3) NAME OF OTHER BUSINESS: WEST HARTFORD WEALTH MANAGEMENT GROUP, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL AND INSURANCE SERVICES; START DATE: 01/2015; POSITION/TITLE/RELATIONSHIP: MEMBER; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 4; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL AND INSURANCE SERVICES; 4) RON ROLEY FOUNDATION, NOT INVESTMENT RELATED, WEST HARTFORD, CT, VOLUNTARY BOARD MEMBER, CHARITABLE ORGANIZATION, PROMOTE PUBLIC AWARENESS FOR PANCREATIC CANCER, SINCE 10/2009, 1H/WEEK. 5) 15 NORTH MAIN ASSOCIATES, LLC, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, PART OWNER, MANAGING MEMBER, REAL ESTATE OWNERSHIP LLC, SINCE 07/2014, 1H/WEEK. 6) AMERICAN SCHOOL FOR THE DEAF, NOT INVESTMENT RELATED, WEST HARTFORD, BOARD MEMBER-EMERITUS, EDUCATIONAL PROGRAMS AND SERVICES FOR DEAF AND HARD-OF-HEARING STUDENTS, 0H/WEEK, SINCE 11/2013 7) NOTARY PUBLIC, NOT INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, NOTARY PUBLIC, NOTARIZE DOCUMENTS, OWNER, .01H/WEEK, SINCE 08/1981. 8) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 8/2025; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELL LIFE, DISABILITY AND ANNUITIES; 9) NAME OF OTHER BUSINESS: LIFE SETTLEMENT BUSINESS; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: LIFE SETTLEMENT; START DATE: 08/2025; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: LIFE SETTLEMENTS WITH CETERA APPROVED VENDORS
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-05-12 |
| S63 | Uniform Securities Agent State Law Examination | 1986-06-02 |
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