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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 | 2023-10-20 |
| CO | RA | APPROVED | 2023-06-29 |
Branch Locations
5655 S Yosemite Ste 300, Greenwood Village, CO 80111 • United States
7047 E Greenway Pkwy. Ste 350, Scottsdale, AZ 85254 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Impactive Advisors Llc | Nashville | TN | 11/2016 | 06/2017 |
| Expert Securities Support Llc | Sarasota | FL | 01/2016 | 12/2023 |
| Simply Money Advisors | Cincinnati | OH | 12/2016 | 06/2018 |
| First Financial Equity Corporation | Scottsdale | AZ | 04/2022 | 10/2022 |
| Cetera Wealth Services, Llc | El Segundo | CA | 04/2022 | Present |
| Ffec Wealth Partners | Scottsdale | AZ | 04/2022 | Present |
| Diamond Generational Wealth Llc | Elizabeth | CO | 03/2023 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1. NAME OF OTHER BUSINESS: FINRA INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL REGULATOR START DATE: 06/2016 POSITION/TITLE/RELATIONSHIP: ARBITRATOR APX NUMBER OF HOURS PER WEEK: NONE APX NUMBER OF HOURS DURING TRADING HOURS: NONE BRIEF DESCRIPTION OF DUTIES: IF SELECTED, I ARBITRATE FINRA HEARINGS; 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: EMPLOYEE APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE SUPPORTING DUTIES; 3. NAME OF OTHER BUSINESS: DIAMOND GENERATIONAL WEALTH LLC; INVESTMENT RELATED: YES, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 3/2023, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 4. NAME OF OTHER BUSINESS: INDEPENDENCE CLASSICAL ACADEMY; INVESTMENT RELATED: NO; ADDRESS: 634 S. ELBERT STREET, ELIZABETH, CO 80107; NATURE OF BUSINESS: EDUCATION; START DATE: 05/2024; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER/TREASURER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: OVERSIGHT FILING OF CHARTER, REVIEW CURRICULUM, ESTABLISH BANK ACCOUNT, REVIEW FINANCIALS, OVERSIGHT OF RUNNING SCHOOL; 5. NAME OF OTHER BUSINESS: ELBERT COUNTY; INVESTMENT RELATED: NO; ADDRESS: 215 COMANCHE STREET, PO BOX 7 KIOWA, CO 80117; NATURE OF BUSINESS: CIVIC ORGANIZATION; START DATE: 09/2025; POSITION/TITLE/RELATIONSHIP: PLANNING COMMISSIONER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: MAKE RECOMMENDATIONS TO THE COMMISSIONERS WITH RESPECT TO LAND USE; 6. NAME OF OTHER BUSINESS: INDEPENDENCE CLASSICAL ACADEMY BUILDING CORPORATION; INVESTMENT RELATED: NO; ADDRESS: 589 S BANNER ST. ELIZABETH, CO 80107; NATURE OF BUSINESS: TAX AND ACCOUNTING; START DATE: 12/2025; POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: LOAN OVERSIGHT, MONITORING REPAYMENT, SIGNING LOAN PAPERWORK, SECOND SIGNATORY FOR CHECKS; 7. NAME OF OTHER BUSINESS: NOTARY INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NOTARY START DATE: 4/15/2026 POSITION/TITLE/RELATIONSHIP: NOTARY APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: NOTARIZE DOCUMENTS
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-07-29 |
| S63 | Uniform Securities Agent State Law Examination | 1984-05-16 |
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