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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 | 2022-11-01 |
| CA | RA | APPROVED | 2020-11-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Volker Financial | San Diego | CA | 11/1991 | Present |
| First Allied Securities, Inc. | San Diego | CA | 02/2002 | 09/2022 |
| First Allied Advisory Services, Inc. | Chesterfield | MO | 05/2014 | 11/2020 |
| First Allied Advisory Services | Schaumburg | IL | 11/2020 | 11/2020 |
| Cetera Advisors Llc | San Diego | CA | 09/2022 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 11/2020 | Present |
1. VOLKER FINANCIAL & INSURANCE SERVICES, INC.; AGENT; INSURANCE; START DATE: 05/10/2004; 0 HOURS PER MONTH. 2. SUNSET CLIFFS ENTERPRISES; PARTNER; REAL ESTATE(RENT/INVEST/DEVELOP); START DATE:01/06/2009 3. TIERRASANTA KIWANIS CLUB/FOUNDATION; TREASURER;NON-PROFIT ORGANIZATION; START DATE 01/01/2013; 4 HRS. PER MONTH. 4. TUPPER REVOCABLE TRUST; SUCCESSOR TRUSTEE; FIDUCIARY POSITION; 20 HOURS PER MONTH; STATE DATE: 03/16/2015. 5. GERALD J OTT & JOYCE A OTT REV TRUST; SUCCESSOR TRUSTEE; FIDUCIARY POSITION; 20 HOURS PER MONTH; START DATE: 03/16/2015.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1989-04-19 |
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