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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2024-03-21 |
| OH | RA | APPROVED | 2024-03-21 |
| TX | RA | APPROVED_RES | 2024-03-21 |
Branch Locations
10250 Alliance Rd Ste 125, Cincinnati, OH 45242 • United States
Richmond Hill, GA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Advisors Llc | Denver | CO | 01/2013 | Present |
| Fht Advisors | Cincinnati | OH | 05/2023 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | Present |
(1) NAME OF OTHER BUSINESS: FREEMAN HEYNE TOMA FINANCIAL ADVISORS ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL PLANNING AND INVESTMENT SERVICES ; START DATE: 10/2020 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: MEET WITH CLIENT AND PROVIDE ADVICE AND MANAGEMENT REGARDING THEIR FINANCIAL & INVESTMENT NEEDS ; (2) NAME OF OTHER BUSINESS: ROEDING GROUP COMPANIES DBA ROEDING INSURANCE ; INVESTMENT RELATED: NO ADDRESS: 2734 CHANCELLOR DR, SUITE 301, CRESTVIEW HILLS, KY 41017 ; NATURE OF BUSINESS: INSURANCE ; START DATE: 10/2020 ; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT ; APX NUMBER OF HOURS PER WEEK: 5 ; APX NUMBER OF HOURS DURING TRADING HOURS: 5 ; BRIEF DESCRIPTION OF DUTIES: SERVICE EXISTING BLOCK OF CLIENTS WITH VARIOUS FIXED INSURANCE PRODUCTS ; (3) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 10/2020 APX NUMBER OF HOURS PER WEEK: 2 ; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, PROPERTY & CASUALTY AND LONG TERM CARE (4) NAME OF OTHER BUSINESS: FHT ADVISORS ; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 05/2023; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-12-19 |
| S63 | Uniform Securities Agent State Law Examination | 1983-03-22 |
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