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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 | 2024-08-07 |
| AZ | RA | APPROVED | 2023-06-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Summit Brokerage Services Inc | Scottsdale | AZ | 12/2003 | 09/2019 |
| Summit Financial Group Inc | Scottsdale | AZ | 01/2004 | 05/2021 |
| D/B/A Faehnrich & Associates Llc | Prescott | AZ | 05/1998 | Present |
| Cetera Wealth Services, Llc | El Segundo | CA | 09/2019 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
FAEHNRICH & ASSC. LLC; SINCE 07/01/1998; SAME AS BRANCH ADDRESS; OWNER; LLC USED FOR BILL PAYING ONLY; 0 HOURS SPENT ON ACTIVITY PER MONTH
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-04-26 |
| S63 | Uniform Securities Agent State Law Examination | 1985-06-18 |
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