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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 | 2025-03-24 |
| IA | RA | APPROVED | 2025-02-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
(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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-11-18 |
| S63 | Uniform Securities Agent State Law Examination | 1981-12-05 |
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