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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-04-22 |
| NJ | RA | APPROVED | 2020-11-12 |
Branch Locations
51 Jfk Parkway First Floor West, Short Hills, NJ 07078 • United States
200 East 66Th St., New York, NY 10065 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Allied Securities, Inc. | San Diego | CA | 12/2008 | 09/2022 |
| First Allied Advisory Services, Inc. | Chesterfield | MO | 07/2012 | 11/2020 |
| First Allied Advisory Services | Schaumburg | IL | 11/2020 | 11/2020 |
| Cetera Advisors Llc | Short Hills | NJ | 09/2022 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 11/2020 | Present |
1.)THE CARDINAL HILL GROUP, INC; EMPLOYEE/FINANCIAL ADVISOR; DBA; START DATE:12/01/2008. 2.) FINRA; ARBITRATOR; ARBITRATOR/EXPERT WITNESS; START DATE: 07/13/2017; 80 HOURS PER MONTH. 3.) KEVIN FAY TRUST; FIDUCIARY POSITION(TRUSTEE, POA,EXECUTOR, ETC.); START DATE: 06/02/2009. 4.) CARDINAL HILL WEALTH ADVISORY GROUP LLC; WEALTH MANAGER; DBA; START DATE: 1/13/2021; 160 HOURS PER MONTH.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-03-01 |
| S63 | Uniform Securities Agent State Law Examination | 1985-07-22 |
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