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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 | 2023-06-29 |
| TX | RA | APPROVED_RES | 2023-06-29 |
Branch Locations
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 |
|---|---|---|---|---|
| Voya Financial Advisors | Colorado Springs | CO | 09/2014 | 06/2021 |
| Cetera Wealth Services, Llc | El Segundo | CA | 06/2021 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1. NAME OF ENTITY: Independent Insurance Agent; Yes; 10 WOODMEN LANE; COLORADOSPRINGS; CO; 80919; Fixed Insurance Sales; Independent Insurance Agent; 3/6/2006; 160; 160; Sales of Fixed Insurance Products; 2. NAME OF ENTITY: Summit Region LLC; No; 10 Woodmen Lane; Colorado Springs; CO; 80919; Summit Region LLC; Owner; 4/15/2019; 12; 165; Summit Region LLC was created for me to serve as Family Care Giver for my disabled son; 3. NAME OF OTHER BUSINESS: FARM LAND; INVESTMENT RELATED: NO; ADDRESS: 4458 W 400N, MADISON, IN 47250; NATURE OF BUSINESS: FARM LAND RENTAL; START DATE: 12/2009; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: OWNER/OVERSEE PROPERTY;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-01 |
| S63 | Uniform Securities Agent State Law Examination | 1992-02-03 |
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