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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2024-03-21 |
| TX | RA | APPROVED_RES | 2023-02-13 |
| CA | RA | APPROVED | 2014-11-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Wealth Services, Llc | El Segundo | CA | 12/2013 | Present |
| Cetera Advisors Llc | Denver | CO | 12/2013 | Present |
| Cetera Financial Specialists Llc | Schaumburg | IL | 12/2013 | Present |
| Cetera Investment Services Llc | St Cloud | MN | 12/2013 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 12/2013 | Present |
| First Allied Securities, Inc. | San Diego | CA | 02/2015 | 09/2022 |
| Investors Capital Corp | Lynnfield | MA | 02/2015 | 12/2016 |
| Legend Equities Corporation | Palm Beach Gardens | FL | 02/2015 | 12/2016 |
| Summit Brokerage Services, Inc. | Boca Raton | FL | 02/2015 | Present |
| Girard Securities, Inc. | San Diego | CA | 11/2015 | 11/2017 |
| Vsr Financial Services, Inc. | Overland Park | KS | 11/2015 | 12/2016 |
| Cetera Investment Advisers Llc | San Diego | CA | 03/2024 | Present |
1. NAME OF OTHER BUSINESS: UA PROPERTIES, INVESTMENT RELATED: NO, ADDRESS:, NATURE OF BUSINESS: PERSONAL REAL ESTATE INVESTMENTS, START DATE: 06/2012, APX NUMBER OF HOURS PER WEEK: 2.5, APX NUMBER OF HOURS DURING TRADING HOURS: 2.5, BRIEF DESCRIPTION OF DUTIES: PURCHASE RESIDENTIAL REAL ESTATE PROPERTIES; 2. NAME OF OTHER BUSINESS: LEGATUS, INVESTMENT RELATED: NO, ADDRESS: P.O. BOX 444, ANN ARBOR, MI, 48106, NATURE OF BUSINESS: NON-PROFIT, START DATE: 01/2023, POSITION/TITLE/RELATIONSHIP: TREASURER, APX NUMBER OF HOURS PER WEEK: 2, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: TRACK DUES AND EXPENSES, CHECK WRITING WITH DUAL CONTROL;
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2011-05-27 |
| S65 | Uniform Investment Adviser Law Examination | 2007-02-16 |
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