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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2025-05-27
  • SC RA
    APPROVED
    Since 2025-05-27

Branch Locations

359 South Pine Street, Spartanburg, SC 29302 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Self Employed - D/B/A Estate & Financial Spartanburg SC 10/1978 05/2025
Cambridge Investment Research, Inc Fairfield IA 09/2011 05/2025
Cambridge Investment Research Advisors, Inc Fairfield IA 09/2011 05/2025
Cetera Wealth Services, Llc El Segundo CA 05/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 05/2025 Present
Horton Financial Services Inc Spartanburg SC 05/2025 Present
  • 10/1978 → 05/2025
    Self Employed - D/B/A Estate & Financial
    Spartanburg, SC
  • 09/2011 → 05/2025
    Cambridge Investment Research, Inc
    Fairfield, IA
  • 09/2011 → 05/2025
    Fairfield, IA
  • 05/2025 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 05/2025 → Present
    Schaumburg, IL
  • 05/2025 → Present
    Horton Financial Services Inc
    Spartanburg, SC
Previous Registrations
Other Businesses

1. NAME OF OTHER BUSINESS: HORTON FINANCIAL SERVICES INC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 5/2025 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: REGISTERED REPRESENTATIVE DUTIES; 2. NAME OF OTHER BUSINESS: KYLE ATKINS FINANCIAL GROUP, INC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: MARKETING FOR SECURITIES CLIENTS START DATE: 5/2025 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: REGISTERED REPRESENTATIVE DUTIES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-28
S63 Uniform Securities Agent State Law Examination 1982-11-23
  • S65 Uniform Investment Adviser Law Examination
    1999-12-28
  • S63 Uniform Securities Agent State Law Examination
    1982-11-23
Designations

View on SEC IAPD

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