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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2019-07-03 |
| TX | RA | APPROVED_RES | 2019-06-21 |
Branch Locations
1702 E. Highland Ave Suite 204, Phoenix, AZ 85016 • United States
Prescott, AZ • United States
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 |
|---|---|---|---|---|
| Foresters Financial Services | Phoenix | AZ | 06/1982 | 06/2019 |
| Self | Show Low | AZ | 10/2012 | Present |
| Foresters Advisory Services | Phoenix | AZ | 08/2012 | 06/2019 |
| Cetera Investment Services Llc | St Cloud | MN | 06/2019 | Present |
| Cetera Investment Advisers Llc | Phoenix | AZ | 06/2019 | Present |
1. RENTAL PROPERTY 2. WILLAIM C. STEAD LLC, 100% OWNER, PERSONAL LLC FOR TAX PURPOSES 3. ARIZONA CAPITAL MANAGEMENT, LLC, 50% OWNER, DBA FOR CETERA BUSINESS
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-10-22 |
| S63 | Uniform Securities Agent State Law Examination | 1982-08-24 |
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