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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2023-06-29 |
| TX | RA | APPROVED_RES | 2023-06-29 |
Branch Locations
6363 W. 120Th Ave Ste 201, Broomfield, CO 80020 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Wealth Services, Llc | El Segundo | CA | 04/2017 | Present |
| Century Link | Denver | CO | 01/2016 | 04/2017 |
| Fox-Smith Wealth Management | Northglenn | CO | 04/2017 | 11/2020 |
| Fox-Smith Wealth Management | Westminster | CO | 01/2021 | Present |
| Mh Wealth Management | Strasburg | CO | 01/2021 | Present |
| Mended Heart Ranch | Strasburg | CO | 02/2021 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
(1) NAME OF OTHER BUSINESS: MBA WEALTH MANAGEMENT; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES ; START DATE: 01/2021, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40-50 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; NAME OF OTHER BUSINESS: GOOD NEWS 4-H CLUB INVESTMENT RELATED: NO ADDRESS: 13555 PASS ME BY RD STRASBURG, CO 80136 NATURE OF BUSINESS: NON-PROFIT, YOUTH DEVELOPMENT 4-H CLUB START DATE: 11/2020 POSITION/TITLE/RELATIONSHIP: CLUB LEADER / VICE CHAIR ; APX NUMBER OF HOURS PER WEEK: 0-10 ; APX NUMBER OF HOURS DURING TRADING HOURS: 0-10 BRIEF DESCRIPTION OF DUTIES: LEAD CLUB ACTIVITIES. OVERSEE ADMINISTRATIVE DUTIES. OVERSEE JR LIVESTOCK SALE AND EVENTS. VOTING RIGHTS ON EXPENDITURES ; (3) NAME OF OTHER BUSINESS: FOX-SMITH WEALTH MANAGEMENT INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 01/2021, POSITION/TITLE/RELATIONSHIP: SUPERVISOR, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: COMPLIANCE AND SUPERVISION; (4) NAME OF OTHER BUSINESS: MH WEALTH MANAGEMENT INVESTMENT RELATED: YES, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: S CORP, START DATE: 01/2021, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: EXPENSE MANAGEMENT; (5) NAME OF OTHER BUSINESS: MENDED HEART RANCH INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: RANCH, START DATE:02/2021, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 20, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: ANIMAL CARE, SALES AND MARKETING.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-09-28 |
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