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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 | 2024-11-13 |
| NY | RA | APPROVED | 2023-06-29 |
| FL | RA | APPROVED | 2023-06-01 |
Branch Locations
8804 Fourth Ave, Brooklyn, NY 11209 • United States
1010 South Ocean Blvd Apt 1705, Pompano Beach, FL 33062 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Dm Financial Services, (Self Employed) | Brooklyn | NY | 01/1992 | Present |
| J.W. Cole Financial, Inc. | Brooklyn | NY | 05/2013 | 09/2016 |
| Crown Capital Securities, Lp | Orange | CA | 09/2016 | 06/2019 |
| Summit Brokerage Services | Brooklyn | NY | 06/2019 | 09/2019 |
| Cetera Investment Advisers Llc | Brooklyn | NY | 08/2019 | 06/2021 |
| Cetera Wealth Services, Llc | Brooklyn | NY | 09/2019 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2023 | Present |
| Summit Financial Networks | Brooklyn | NY | 03/2025 | Present |
1) NAME OF OTHER BUSINESS: DM FINANCIAL SERVICES INC. DOLORES MONTE, E.A.; INVESTMENT RELATED: NO; ADDRESS: 7901 5TH AVENUE BROOKLYN, NY 11209; NATURE OF BUSINESS: TAX PREPARATION; START DATE: 11/2023; POSITION/TITLE/RELATIONSHIP: OWNER/ENROLLED AGENT; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: OFFER TAX PLANNING, PREPARATION AND REPRESENTATION; 2) THE VITO CALECA TRUST; INVESTMENT RELATED; THE CALECA TRUST HAS A TRANSACTIONAL BROKERAGE ACCOUNT; TRUSTEE; 12/25/1997; APPX 5 HRS/MONTH; APPX 1/2 HRS/MONTH DURING TRADING; I AM THE TRUSTEE ON THE VITO CALECA TRUST AND CURRENT MANAGE THE ACCOUNT WITH AN APPX VALUE OF $150K. I ALSO FILE ALL TAX RETURNS FOR THE TRUST. 3) NAME OF OTHER BUSINESS: SUMMIT FINANCIAL NETWORKS INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 03/2025 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 4) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 01/01/1990 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED ANNUITIES
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-07-30 |
| S63 | Uniform Securities Agent State Law Examination | 1999-10-08 |
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