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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2026-02-04 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jesup Community School District | Jesup | IA | 08/2015 | 08/2017 |
| Prairie City - Monroe Community School District | Prairie City | IA | 08/2017 | 08/2018 |
| West Des Moines Community School District | West Des Moines | IA | 08/2018 | 08/2025 |
| Self-Employed Piano Studio | Clive | IA | 10/2018 | Present |
| Waukee Community School District | Waukee | IA | 08/2025 | Present |
| Excellence Achieved, Llc | Ankeny | IA | 08/2025 | Present |
| Cetera Wealth Services, Llc | El Segundo | CA | 08/2025 | Present |
| Cetera Wealth Services, Llc | El Segundo | CA | 06/2025 | 08/2025 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 02/2026 | Present |
1. NAME OF OTHER BUSINESS: WAUKEE COMMUNITY SCHOOL DISTRICT; INVESTMENT RELATED: NO; ADDRESS: WAUKEE, IA 50263; NATURE OF BUSINESS: EDUCATION; START DATE: 08/2025; POSITION/TITLE/RELATIONSHIP: GENERAL MUSIC TEACHER; APX NUMBER OF HOURS PER WEEK: 24; APX NUMBER OF HOURS DURING TRADING HOURS: 24; BRIEF DESCRIPTION OF DUTIES: TEACHING PRE-KINDERGARTEN, KINDERGARTEN, AND 4TH GRADE GENERAL MUSIC CLASSES; 2. NAME OF OTHER BUSINESS: SELF-EMPLOYED PIANO STUDIO; INVESTMENT RELATED: NO; ADDRESS: CLIVE, IA 50325; NATURE OF BUSINESS: TEACHING PIANO; START DATE: 10/2018; POSITION/TITLE/RELATIONSHIP: PIANO TEACHER; APX NUMBER OF HOURS PER WEEK: 8; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: PROVIDE PERSONAL INSTRUCTION TO 1ST - 12TH GRADE STUDENTS WEEKLY AND PREPARE STUDENTS FOR PIANO RECITALS AND PIANO FESTIVALS; 3. NAME OF OTHER BUSINESS: EXCELLENCE ACHIEVED, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 08/2025; POSITION/TITLE/RELATIONSHIP: ADMINISTRATIVE ASSISTANT; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 20; BRIEF DESCRIPTION OF DUTIES: GATHERING AND PROCESSING FINANCIAL INFORMATION, PLANNING AND ORGANIZING PROJECTS, AND KEEPING DOCUMENTATION OF SPENDING FOR THE ADVISOR, WAYNE CHRIST;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2026-02-02 |
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