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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-03-13 |
| TX | RA | APPROVED | 2026-03-13 |
Branch Locations
18600 Main Street Suite 220, Huntington Beach, CA 92648 • United States
18600 Main Street Suite 220, Huntington Beach, CA 92648 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2013-10-10 |
| CA | RA | APPROVED | 2003-10-31 |
Branch Locations
18600 Main Street Suite 220, Huntington Beach, CA 92648 • 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 |
|---|---|---|---|---|
| Cm First Capital Corp. | Huntington Beach | CA | 06/2005 | Present |
| First Allied Securities, Inc. | San Diego | CA | 06/2005 | 09/2022 |
| Cetera Advisors Llc | Huntington Beach | CA | 09/2022 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2026 | Present |
1.)SCIPIO DBA TIMBEROAKES SHOPPING CENTER; BOARD MEMBER; REAL ESTATE; START DATE:6/1/1997. 2.)CM FIRST CAPITAL CORP; PRESIDENT; REGISTERED INVESTMENT ADVISOR; START DATE:9/8/2003. 3.) Arkad Operating Corp.; Vice President; Real Estate(Rental Property/Passive Investment); start date 05/19/2016; 4 hours per month. 4.) Vista Blue Resorts, LLC; Limited Partner; Real Estate; 10/15/2015; 4 hours per month.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-06-16 |
| S63 | Uniform Securities Agent State Law Examination | 1987-07-07 |
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