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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 | 2024-07-26 |
| NM | RA | APPROVED | 2023-06-29 |
Branch Locations
132 Romero Street # 21, Santa Fe, NM 87501 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cuna Mutual Group | Waverly | IA | 08/2013 | 06/2018 |
| Cuna Brokerage Services, Inc., | Waverly | IA | 08/2013 | 06/2018 |
| Cetera Wealth Services, Llc | El Segundo | CA | 06/2018 | Present |
| Bar Financial Llc | Albuquerque | NM | 05/2018 | 02/2021 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1. NAME OF OTHER BUSINESS: BAR FINANCIAL, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 06/2018 POSITION/TITLE/RELATIONSHIP: PRACTICE MANAGEMENT AND OSJ MANAGER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PRACTICE MANAGEMENT AND OSJ MANAGER
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-01-13 |
| S63 | Uniform Securities Agent State Law Examination | 1986-06-11 |
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