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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 |
| FL | RA | APPROVED | 2023-04-07 |
Branch Locations
225 Ne Mizner Blvd, Suite 550, Boca Raton, FL 33432 • United States
2 disclosure categories 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 Inc | Boca Raton | FL | 02/2003 | 09/2019 |
| Summit Financial Group Inc | Boca Raton | FL | 02/2003 | 05/2021 |
| Cetera Wealth Services, Llc | El Segundo | CA | 09/2019 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2023 | Present |
(1) STANLEY J. SMITH TRUST - PERSONAL TRUST - 20 BOSUN WAY, DELARY BEACH, FL 33483 - INITIAL MORTGAGES AND REFINANCING-PURCHASE BRIDGE LOANS ASSOCIATED WITH REAL ESTATE - 2 HRS A MONTH ZERO DURING TRADING - COMPENATION IS INTERST EARNED ON LOAN
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-12-22 |
| S63 | Uniform Securities Agent State Law Examination | 1986-02-14 |
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