Arthur Joseph Mcphail

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2023-06-29
TX	RA	APPROVED_RES	2023-06-29

IL RA
APPROVED

Since 2023-06-29
TX RA
APPROVED_RES

Since 2023-06-29

Branch Locations

10409 Fair Lane, Huntley, IL 60142 • United States

1415 West 22 St Tower Floor, Oak Brook, IL 60523 • United States

Disclosures

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.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Summit Brokerage Services Inc	Oakbrook	IL	08/2015	09/2019
Cetera Wealth Services, Llc	El Segundo	CA	09/2019	Present
Summit Financial Group Inc	Oak Brook	IL	10/2017	05/2021
Cetera Investment Advisers Llc	Schaumburg	IL	06/2023	Present

08/2015 → 09/2019

Summit Brokerage Services Inc

Oakbrook, IL
09/2019 → Present

Cetera Wealth Services, Llc

El Segundo, CA
10/2017 → 05/2021

Summit Financial Group Inc

Oak Brook, IL
06/2023 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Previous Registrations

2017-10-03 → 2021-05-20

Summit Financial Group Inc

Oak Brook, IL

Other Businesses

(1) PERSONALIZED FINANCIAL RESOURCES, LLC; SINCE 01/01/1976; ADDRESS SAME AS BRANCH; FINANCIAL SERVICES PROFESSIONAL; determine needs for and sale of insurance; VARIABLE HOURS SPENT ON ACTIVITY PER MONTH

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2017-09-27
S63	Uniform Securities Agent State Law Examination	2016-02-18

S65 Uniform Investment Adviser Law Examination

2017-09-27
S63 Uniform Securities Agent State Law Examination

2016-02-18

Other Names

Art Mcphail

View on SEC IAPD