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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 | 2020-11-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Allied Securities, Inc. | San Diego | CA | 09/2000 | 09/2022 |
| First Allied Advisory Services, Inc. | Chesterfield | MO | 04/2012 | 11/2020 |
| First Allied Advisory Services | Schaumburg | IL | 11/2020 | 11/2020 |
| Cetera Advisors Llc | Magnolia | TX | 09/2022 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 11/2020 | Present |
1.)FINRA ARBITRATOR. 2.)CATER ENTERPRISES; DBA; START DATE:1/1/1998. 3.) CATER WEALTH MANAGEMENT; PRESIDENT; DBA; START DATE 07/01/2015; 160 HOURS PER MONTH.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-06-19 |
| S63 | Uniform Securities Agent State Law Examination | 1979-10-05 |
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