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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-03-31 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Canandaigua National Bank & Trust | Canandaigua | NY | 05/2010 | Present |
| Cetera Investment Services Llc | St.CLoud | MN | 03/2018 | Present |
| Cetera Investment Advisers Llc | Canandaigua | NY | 06/2018 | Present |
1. Canadaigua National Bank, Outside RIA Affiliation, OBS Financial Services, IAR 2. WEALTH ADVISOR FOR CANANDAIGUA NATIONAL BANK AND TRUST; PROFILE THE CLIENT, BRING IN TEAM MEMBERS, AND UPON ANALYSIS WITH TEAM DECIDE WHICH PLATFORM IS BEST FOR THE CLIENT; DOES NOT PLACE OR HANDLE SECURITIES TRANSACTIONS, MAKE INVESTMENT DECISIONS, OR RECOMMEND SECURITIES
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-05-31 |
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