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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2023-06-29 |
| TX | RA | APPROVED_RES | 2023-06-29 |
Branch Locations
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 |
|---|---|---|---|---|
| Capital Street Financial Services, Inc. | St Paul | MN | 01/1999 | Present |
| Voya Financial Advisors | St Paul | MN | 09/2014 | 06/2021 |
| Cetera Wealth Services, Llc | El Segundo | CA | 06/2021 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
NAME OF ENTITY: Capital Street Financial Services Inc; Yes; 85 E 7TH PLACE #275; ST PAUL; MN; 55101; financial advising; vice president; 1/1/1999; 50; 50; executive functions, registered rep, iar, insurance agent| NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 85 E 7TH PLACE STE 275; ST PAUL; MN; 55101; FIXED INSURANCE SALES; independent insurance agent; 6/1/2010; 160; 160; SALES OF FIXED INSURANCE PRODUCTS|NAME OF ENTITY:M Rachac Family Farm; No; 1654 Hillcrest Avenue; Saint Paul; MN; 55116; Farm Land Rental; Owner; 5/1/2000; 4; 0; Collect rent checks, comply with USDA, Soil Conservation, and DNR directives. Maintain ditches, creek bottoms, and buffer strips
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-09-16 |
| S63 | Uniform Securities Agent State Law Examination | 1994-01-04 |
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