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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 | 2025-02-14 |
| NY | RA | APPROVED | 2023-06-29 |
Branch Locations
21 Bennetts Rd Suite 201, Setauket, NY 11733 • United States
21 Bennetts Road Suite 201, Setauket, NY 11733 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-05-05 |
Branch Locations
21 Bennetts Road Suite 201, Setauket, NY 11733 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Wealth Services, Llc | El Segundo | CA | 09/2013 | Present |
| Branch Financial Services, Inc. | Setauket | NY | 01/2011 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1. CHAIRMAN OF VILLAGE PLANNING BOARD, HARBOR, NY, 2 HOURS SECURITIES, 2 HOURS NON SECURITIES, SINCE 5/2004; 2. BRANCH FINANCIAL SERVICES, INC., INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, DBA NAME FOR FINANCIAL SERVICES, START 02/25/1995, 40HRS/WK (32.5 TRADING HOURS), REGISTERED REPRESENTATIVE, INVESTMENT ADVISOR REPRESENTATIVE; 3. NAME OF OTHER BUSINESS: BRANCH FINANCIAL SERVICES, INC. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADVISORY BUSINESS POSITION/TITLE/RELATIONSHIP: ADVISORY REPRESENTATIVE START DATE: 2011 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING ONLY 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: 10/1974; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS;
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1996-04-12 |
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