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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2023-06-29 |
| TX | RA | APPROVED_RES | 2023-06-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Wealth Services, Llc | El Segundo | CA | 09/2013 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1. INDEPENDENT INSURANCE AGENT SELLING LIFE, FROM BUSINESS ADDRESS FOR 1 WKDY HR/WK SINCE 11/2009. 2. NAME OF OTHER BUSINESS: STATION CAPITAL NAPLES INVESTMENT RELATED: NO ADDRESS: 1921 CRESTVIEW AY UNITS 178/179 NAPLES FL 34119 NATURE OF BUSINESS: REAL ESTATE RENTAL START DATE: 1/2007 POSITION/TITLE/RELATIONSHIP: 100% OWNER APX NUMBER OF HOURS PER WEEK: 4 APX NUMBER OF HOURS DURING TRADING HOURS: 3 3. NAME OF OTHER BUSINESS: STATION CAPITAL, INC. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: LIFE INSURANCE START DATE: 8/1996 POSITION/TITLE/RELATIONSHIP: VP/CFO APX NUMBER OF HOURS PER WEEK: ½ HR APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: DBA FOR INSURANCE BUSINESS; 4. NAME OF OTHER BUSINESS: DEER VALLEY YMCA CAMP; INVESTMENT RELATED: NO; ADDRESS: 254 DEER VALLEY DR, FORT HILL, PA 15540; NATURE OF BUSINESS: YMCA FAMILY CAMP; START DATE: 06/2022 POSITION/TITLE/RELATIONSHIP: WATER FRONT STAFF; APX NUMBER OF HOURS PER WEEK: 16; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: PROVIDE BOAT, LIFEGUARD, & MISCELLANEOUS WATERFRONT MAINTENANCE SERVICES; 5. NAME OF OTHER BUSINESS: R J PUBLICATIONS, INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: LITERATURE, START DATE: 01/2025, POSITION/TITLE/RELATIONSHIP: AUTHOR, APX NUMBER OF HOURS PER WEEK: 20, APX NUMBER OF HOURS DURING TRADING HOURS: 0, BRIEF DESCRIPTION OF DUTIES: WRITING A BOOK REGARDING TIMELESS PRINCIPLES, MODERN CHALLENGES;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-04-06 |
| S63 | Uniform Securities Agent State Law Examination | 1984-11-01 |
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