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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_RES | 2023-06-29 |
| GA | RA | APPROVED | 2015-10-27 |
Branch Locations
5970 Pocahontas Dr, Flowery Branch, GA 30542 • 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 |
|---|---|---|---|---|
| Summit Brokerage Services | Flowery Branch | GA | 08/2015 | 09/2019 |
| Summit Financial Group Inc | Flowery Branch | GA | 04/2016 | 05/2021 |
| Cetera Wealth Services, Llc | El Segundo | CA | 09/2019 | Present |
| Cetera Investment Advisers Llc | Flowery Branch | GA | 10/2015 | Present |
| Cetera Investment Advisers Llc | Flowery Branch | GA | 06/2023 | Present |
| Prosperity Wealth Advisors | Flowery Branch | GA | 02/2021 | Present |
1) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 11/2021; 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 HEALTH ; 2) NAME OF OTHER BUSINESS: PROSPERITY WEALTH ADVISORS ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL SERVICES ; START DATE: 6/2021 ; POSITION/TITLE/RELATIONSHIP: Owner APX NUMBER OF HOURS PER WEEK: 40-50; 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 | 2013-05-13 |
| S63 | Uniform Securities Agent State Law Examination | 1983-06-24 |
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