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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2024-03-21 |
Branch Locations
7025 N Scottsdale Rd Ste 115 And 110, Scottsdale, AZ 85253 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Massmutual Southwest Pacific | Scottsdale | AZ | 12/2016 | 11/2021 |
| Unemployed | Gold Canyon | AZ | 03/2016 | 12/2016 |
| Mml Investors Services, Llc | Scottsdale | AZ | 03/2017 | 11/2021 |
| Cetera Advisors Llc | St Cloud | MN | 11/2021 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | Present |
1) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 12/2016, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT, BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, FIXED ANNUITIES AND LONG-TERM CARE; 2) NAME OF OTHER BUSINESS: IN TOUCH WEALTH ADVISORS, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 11/2021, POSITION/TITLE/RELATIONSHIP: SENIOR WEALTH MANAGER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES AND FIXED INSURANCE;
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2017-06-26 |
| S65 | Uniform Investment Adviser Law Examination | 2017-06-09 |
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