Best Investors Account Sign in
Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-03-24
IA RA APPROVED 2025-02-20
  • TX RA
    APPROVED
    Since 2025-03-24
  • IA RA
    APPROVED
    Since 2025-02-20

Branch Locations

702 Sw 4Th Street #108, Ankeny, IA 50023 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Concourse Financial Group Securities Inc Ankeny IA 02/2002 02/2025
(Dba) H K Financial Services Dubuque IA 01/2015 03/2020
Concourse Financial Group Securities Inc Ankeny IA 03/2020 02/2025
(Dba) Excellence Achieved Ankeny IA 12/2016 Present
Cetera Wealth Services, Llc Ankeny IA 02/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 02/2025 Present
  • 02/2002 → 02/2025
    Concourse Financial Group Securities Inc
    Ankeny, IA
  • 01/2015 → 03/2020
    (Dba) H K Financial Services
    Dubuque, IA
  • 03/2020 → 02/2025
    Concourse Financial Group Securities Inc
    Ankeny, IA
  • 12/2016 → Present
    (Dba) Excellence Achieved
    Ankeny, IA
  • 02/2025 → Present
    Cetera Wealth Services, Llc
    Ankeny, IA
  • 02/2025 → Present
    Schaumburg, IL
Previous Registrations
  • 2014-11-18 → 2025-02-20
    Concourse Financial Group Securities, Inc.
    Ankeny, IA
    Ankeny, IA
    Altoona, IA
    Birmingham, AL
  • 2015-01-05 → 2020-04-03
    Ankeny, IA
    Ankeny, IA
Other Businesses

(dba) EXCELLENCE ACHIEVED, LLC; Investment Related: 702 SW 4th Avenue, Ste. 108, Ankeny IA 50023; Owner; Financial Advisory; Start Date: 12/2016; 160 hours per month with 100 hours of those per month occurring during trading hours; Provide financial advice and planning and offer insurance and investment products as solutions. >> WAYNE A CHRIST, CLU, CHFC, CASL; Investment Related; 702 SW 4th Street, Ste. 108, Ankeny IA 50023; Self-employed Owner; Insurance; Start Date 01/1979; 80 hours per month with 40 of those hours per month occurring during trading hours; Advise, place, review, and service insurance products. >> IOWA STATE UNIVERSITY DELTA CHI ALUMNI BOARD OF TRUSTEES; Non-investment Related; 2893 NW 74th Avenue, Ankeny IA 50023; Non-Member Advisor; Advising college students (not financial); Start Date: 01/2021; 10 hours per month with none of those hours per month occurring during trading hours; Delta Chi has a chapter at Iowa State. This organization exists only to advise the members of the chapter.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-11-18
S63 Uniform Securities Agent State Law Examination 1981-12-05
  • S65 Uniform Investment Adviser Law Examination
    2014-11-18
  • S63 Uniform Securities Agent State Law Examination
    1981-12-05
Designations

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Ankeny, IA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor