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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2023-06-29 |
Branch Locations
5655 S Yosemite Ste 300, Greenwood Village, CO 80111 • United States
1 disclosure category 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 |
|---|---|---|---|---|
| First Financial Equity Corp | Denver | CO | 01/2015 | 04/2022 |
| Ffec Advisory Group Llc D/B/A Executive Wealth Planning Partners | Denver | CO | 01/2015 | 12/2017 |
| Cetera Wealth Services, Llc | El Segundo | CA | 04/2022 | Present |
| Executive Wealth Planning | Greenwood Village | CO | 02/2015 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1. NAME OF OTHER BUSINESS: BARRINGER FAMILY LLC; INVESTMENT RELATED: NO; ADDRESS: LAKEWOOD, CO 80215; NATURE OF BUSINESS: FAMILY BUSINESS / INHERITED REAL ESTATE HOLDINGS; START DATE: 07/2019; POSITION/TITLE/RELATIONSHIP: REGISTERED AGENT; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: I DO THE BOOKKEEPING FOR THE ENTITY; 2. NAME OF OTHER BUSINESS: MYSYTOCKOPTIONS.COM; INVESTMENT RELATED: NO; ADDRESS: BROOKLINE, MA 02446; NATURE OF BUSINESS: PROVIDES FINANCIAL PLANNING ADVICE TO HOLDERS OF EQUITY COMPENSATION; START DATE: 02/2000; POSITION/TITLE/RELATIONSHIP CONTRIBUTING EDITOR / ADVISORY BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: OFFER INPUT IN DISCUSSIONS ABOUT FUTURE BUSINESS VENTURES, WRITE ARTICLES ON THE TOPIC OF EQUITY AS COMPENSATION FOR THE WEBSITE; 3. NAME OF OTHER BUSINESS: EXECUTIVE WEALTH PLANNING; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 02/2015; POSITION/TITLE/RELATIONSHIP: MANAGING PARTNER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: BROKER DEALER, ADVISORY, FINANCIAL PLANNING AND INSURANCE BUSINESS; 4. NAME OF OTHER BUSINESS: FFEC WEALTH PARTNERS; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 04/2022, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-02-16 |
| S63 | Uniform Securities Agent State Law Examination | 1986-10-23 |
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