Best Investors Account Sign in
Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-06-29
  • TX RA
    APPROVED
    Since 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

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
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
  • 06/2017 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 04/2017 → 06/2017
    Cetera Advisors Networks, Llc
    El Segundo, CA
  • 04/2017 → Present
    Thm Wealth Management
    Addison, TX
  • 04/2015 → 03/2017
    Houston Texans
    Houston, TX
  • 06/2023 → Present
    Schaumburg, IL
Other Businesses

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;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-10-10
  • S66 Uniform Combined State Law Examination
    2017-10-10

View on SEC IAPD

More in Rockwall, TX

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor