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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2023-06-29 |
| TX | RA | APPROVED | 2023-06-29 |
Branch Locations
5655 S Yosemite Ste 300, Greenwood Village, CO 80111 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Financial Equity Coporation | Scottsdale | AZ | 08/2016 | 04/2022 |
| Cetera Wealth Services, Llc | El Segundo | CA | 04/2022 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1. NAME OF OTHER BUSINESS: DENVER CASA; INVESTMENT RELATED: NO; ADDRESS: 960 N CLARKSON ST. DENVER, CO 80218; NATURE OF BUSINESS: COURT APPOINTED SPECIAL ADVOCATE FOR CHILDREN GOING THROUGH THE FAMILY COURT PROCESS; START DATE: 06/2021; POSITION/TITLE/RELATIONSHIP: VOLUNTEER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: COURT APPOINTED SPECIAL ADVOCATE FOR CHILDREN GOING THROUGH THE FAMILY COURT PROCESS. 2. NAME OF OTHER BUSINESS: FFEC WEALTH PARTNERS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 04/2022; POSITION/TITLE/RELATIONSHIP: OSJ MANAGER & FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 8; BRIEF DESCRIPTION OF DUTIES: INVESTMENT ADVISORY AND BROKERAGE FOR INDIVIDUAL INVESTOR CLIENTS; 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: 08/2023, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 1, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT , BRIEF DESCRIPTION OF DUTIES: SELLS LIFE AND FIXED ANNUITIES;
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2018-10-29 |
| S65 | Uniform Investment Adviser Law Examination | 2004-08-13 |
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