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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 | 2023-10-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Baird | Sioux City | IA | 08/2017 | 08/2023 |
| Sioux City Community Schools | Sioux City | IA | 08/2016 | 05/2017 |
| Security National Bank Of Sd (Dunes) | Dakota Dunes | SD | 10/2023 | Present |
| Cetera Investment Services Llc | St Cloud | MN | 10/2023 | Present |
| Cetera Investment Advisers Llc | Dakota Dunes | SD | 10/2023 | Present |
BOARD VICE PRESIDENT OF NORTH STARS BAND, INC; ATTEND MEETINGS, SIGNOR ON CHECKING ACCOUNT; REQUIRES DUAL SIGNATURES; 10 HRS/MOS
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-04-20 |
| S63 | Uniform Securities Agent State Law Examination | 2022-02-15 |
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