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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 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 |
|---|---|---|---|---|
| Pdi Financial Group | Armonk | NY | 09/2001 | Present |
| Walnut Street Securities, Inc. | St. Louis | MO | 08/2003 | Present |
| Cetera Wealth Services, Llc | El Segundo | CA | 09/2013 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1. FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, FIXED INSURANCE, START 01/1973, 1HR/WK (TRADING HOURS), INSURANCE AGENT - SELLS LIFE, ACCIDENT, HEALTH, AND DISABILITY; 2. PDI FINANCIAL GROUP, INC., INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, DBA NAME FOR FINANCIAL SERVICES, START 02/2013, 60HRS/WK (32.5 TRADING HOURS), REGISTERED REPRESENTATIVE;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-01-23 |
| S63 | Uniform Securities Agent State Law Examination | 1998-03-10 |
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