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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 | 2023-06-29 |
Branch Locations
102 S Goliad Street Suite 101, Rockwall, TX 75087 • United States
16475 Dallas Pkwy Ste 840, Addison, TX 75001-6838 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Wealth Services, Llc | El Segundo | CA | 06/2017 | Present |
| Cetera Advisors Networks, Llc | El Segundo | CA | 04/2017 | 06/2017 |
| Thm Wealth Management | Addison | TX | 04/2017 | Present |
| Houston Texans | Houston | TX | 04/2015 | 03/2017 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1.NAME OF OTHER BUSINESS: THM WEALTH MANAGEMENT; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 04/2017; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 50; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR SECURITIES BUSINESS; 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 04/2018; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 4; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, AND LONG TERM CARE; 3. NAME OF OTHER BUSINESS: DOWNTOWN ROCKWALL ASSOCIATION; INVESTMENT RELATED: NO; ADDRESS: 385 S. GOLIAD STREET ROCKWALL, TX 75087; NATURE OF BUSINESS: NON PROFIT; START DATE: 1/2026; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: LEAD MONTHLY MEETINGS. SUPPORT & PROMOTE DOWNTOWN ROCKWALL. 4. NAME OF OTHER BUSINESS: WEALTHMETRIX; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 05/2025; POSITION/TITLE/RELATIONSHIP: PARTNER; APX NUMBER OF HOURS PER WEEK: 50; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-10-10 |
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