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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
OK RA APPROVED 2020-11-12
TX RA APPROVED 2020-11-12
  • OK RA
    APPROVED
    Since 2020-11-12
  • TX RA
    APPROVED
    Since 2020-11-12

Branch Locations

13919 Quail Pointe Drive, Oklahoma City, OK 73134 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Investment Concepts & Financial Planning Services, Inc. Oklahoma City OK 08/1990 Present
First Allied Securities, Inc. Oklahoma City OK 05/2008 09/2022
First Allied Advisory Services, Inc. Oklahoma City OK 05/2008 11/2020
First Allied Advisory Services Schaumburg IL 11/2020 11/2020
Cetera Advisors Llc Oklahoma City OK 09/2022 Present
Nithman Holdings, Llc Oklahoma City OK 11/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 11/2020 Present
  • 08/1990 → Present
    Investment Concepts & Financial Planning Services, Inc.
    Oklahoma City, OK
  • 05/2008 → 09/2022
    First Allied Securities, Inc.
    Oklahoma City, OK
  • 05/2008 → 11/2020
    First Allied Advisory Services, Inc.
    Oklahoma City, OK
  • 11/2020 → 11/2020
    First Allied Advisory Services
    Schaumburg, IL
  • 09/2022 → Present
    Cetera Advisors Llc
    Oklahoma City, OK
  • 11/2023 → Present
    Nithman Holdings, Llc
    Oklahoma City, OK
  • 11/2020 → Present
    Schaumburg, IL
Previous Registrations
  • 2007-01-03 → 2020-11-12
    First Allied Advisory Services, Inc.
    Chesterfield, MO
    Oklahoma City, OK
  • 1991-07-10 → 2007-01-03
    Ffp Advisory Services Inc
    Oklahoma City, OK
Other Businesses

1. INSURANCE - AGENT 2. INVESTMENT CONCEPTS & FINANCIAL PLANNING SERVICES. DIRECT OWNER. DBA. 3. DELTA SETTLEMENT SOLUTIONS; INSURANCE; START DATE 12/8/2010 4. SLDG, LLC.; PARTNER; HOLDING COMPANY OR TAX/BILL PAYMENT ENTITY; START DATE: 01/01/2018; 4 HOURS PER MONTH. 5. NOTARY; NOTARY PUBLIC; ATTORNEY/PARALEGAL/NOTARY SERVICES; START DATE: 05/04/2021; 4 HOURS PER MONTH. 6. NAME OF OTHER BUSINESS: NITHMAN HOLDINGS, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: ASSET PROTECTION; START DATE: 11/2023; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: HOLDS OFFICE BUILDING;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1986-11-18
  • S63 Uniform Securities Agent State Law Examination
    1986-11-18
Designations
Other Names
  • Mike Hashemi
  • Sasan Hashemi

View on SEC IAPD

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