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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2023-06-29 |
| TX | RA | APPROVED_RES | 2023-06-29 |
Branch Locations
1037 Chuck Dawley Blvd Bldg E Ste 100, Mt Pleasant, SC 29464 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Wealth Services, Llc | El Segundo | CA | 09/2013 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1) INDEPENDENT INSURANCE AGENT (FIXED ANNUITIES, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE) BEGAN 01/1995, 2HRS/ACTIVITY 2) NAME OF OTHER BUSINESS: COMMONWEALTH CAPITAL MANAGEMENT, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE:12/2025; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL/BRANCH MANAGER; 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 | 2009-11-02 |
| S63 | Uniform Securities Agent State Law Examination | 1989-03-17 |
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