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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 | 2025-06-24 |
| NY | RA | APPROVED | 2025-06-11 |
Branch Locations
1400 Old Country Rd Suite 408, Westbury, NY 11590 • United States
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, Na | Clifton | NJ | 01/2017 | 08/2020 |
| Wells Fargo Clearing Services, Llc | Clifton | NJ | 08/2017 | 08/2020 |
| Pnc Bank | Bloomfield | NJ | 06/2015 | 01/2017 |
| Pruco Securities Llc | East Brunswick | NJ | 08/2020 | 08/2021 |
| The Prudential Insurance Company Of America | East Brunswick | NJ | 08/2020 | 08/2021 |
| Equitable Advisors, Llc | New York | NY | 08/2021 | 06/2025 |
| Cetera Investment Services Llc | St Cloud | MN | 05/2025 | Present |
| Cetera Investment Advisers Llc | Long Island | NY | 05/2025 | Present |
1. OWNER OF ARB WEALTH MANAGEMENT LLC; TAX FILING PURPOSES 2. THE QAE GROUP, DBA FOR CETERA BUSINESS, 33% OWNER
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-02-21 |
| S63 | Uniform Securities Agent State Law Examination | 2018-01-23 |
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