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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 | 2023-06-29 |
Branch Locations
721 Second Avenue, Sibley, IA 51249 • United States
17 West 2Nd Street, Remsen, IA 51050 • United States
105 Albany Avenue Se, Orange City, IA 51041 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-11-08 |
| IA | RA | APPROVED | 2021-01-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Wealth Services, Llc | El Segundo | CA | 01/2013 | Present |
| Compass Lighthouse Capital, Llc | Orange City | IA | 12/2020 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 07/2023 | Present |
(1) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, POSITION/TITLE/RELATIONSHIP: REPRESENTATIVE, BRIEF DESCRIPTION OF DUTIES: SELLS FIXED LIFE, ANNUITIES AND LONG TERM CARE; (2) NAME OF OTHER BUSINESS: ISB WEALTH MANAGEMENT, INVESTMENT RELATED: YES, NATURE OF BUSINESS: FINANCIAL SERVICES, POSITION/TITLE/RELATIONSHIP: REPRESENTATIVE, START DATE: 12/2011, APPROX NUMBER OF HOURS PER MONTH: 160, BRIEF DESCRIPTION OF DUTIES: SELL FINANCIAL SERVICES; (3) ORANGE CITY AREA HEALTH SYSTEM, NOT INVESTMENT RELATED, 1000 LINCOLN CIRCLE, ORANGE CITY, IA 51041, HOSPITAL BOARD, START 11/01/2014, 1HR/WK (NON-TRADING HOURS), HOSPITAL BOARD MEMBER; (4) NAME OF OTHER BUSINESS: COMPASS LIGHTHOUSE CAPITAL; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: ADVISORY BUSINESS; POSITION/TITLE/RELATIONSHIP: ADVISORY REPRESENTATIVE; START DATE: 1/2021; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING, ASSET MANAGEMENT, THIRD-PARTY MONEY MANAGEMENT;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-07-28 |
| S65 | Uniform Investment Adviser Law Examination | 2002-09-23 |
| S63 | Uniform Securities Agent State Law Examination | 1999-03-05 |
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