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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 | 2025-04-24 |
| CA | RA | APPROVED | 2025-04-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank Na | Chico | CA | 06/2015 | 02/2022 |
| Wells Fargo Clearing Services Llc | Chico | CA | 04/2017 | 02/2022 |
| Banner Bank | Chico | CA | 02/2022 | 04/2025 |
| Lpl Financial, Llc | Chico | CA | 02/2022 | 04/2025 |
| Cetera Wealth Services, Llc | El Segundo | CA | 04/2025 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 04/2025 | Present |
| Optimize Retirement Group | Chico | OH | 04/2025 | Present |
1. NAME OF OTHER BUSINESS: OPTIMIZE RETIREMENT GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 04/2025 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-07-08 |
| S63 | Uniform Securities Agent State Law Examination | 2017-09-25 |
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