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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
TX RA APPROVED 2023-06-29
  • TX RA
    APPROVED
    Since 2023-06-29

Branch Locations

8951 Collin Mckinney Pkwy Unit 101, Mckinney, TX 75070 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Girard Securities, Inc. San Diego CA 03/2009 11/2017
Cetera Wealth Services, Llc El Segundo CA 10/2017 Present
Anthology Designs Llc Frisco TX 10/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 03/2009 → 11/2017
    Girard Securities, Inc.
    San Diego, CA
  • 10/2017 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 10/2022 → Present
    Anthology Designs Llc
    Frisco, TX
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2009-03-12 → 2017-11-01
    Girard Securities, Inc.
    Mckinney, TX
    Corpus Christi, TX
    Mckinney, TX
    Mckinney, TX
    Mckinney, TX
  • 1999-08-16 → 2009-03-16
    Dallas, TX
    Mckinney, TX
    Dallas, TX
Other Businesses

1. LEGACY FINANCIAL ADVISORS/AGENT-REP TERM LIFE INSURANCE; DISABILITY INSURANCE; LONG TERM CARE, PERMANMENT LIFE INSURANCE. 2. NAME OF OTHER BUSINESS: LEGACY FINANCIAL ADVISORS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 03/2009 POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTATIVE APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES 3. NAME OF OTHER BUSINESS: INDEPENDENCE HIGH SCHOOL - CHOIR BOOSTER CLUB; INVESTMENT RELATED: NO; ADDRESS: 10555 INDEPENDENCE PKWY FRISCO, TX 75035; NATURE OF BUSINESS: NON PROFIT; START DATE: 10/2022; POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: MAINTAIN FINANCIAL INFORMATION AND CHECKBOOK ; 4. NAME OF OTHER BUSINESS: INDEPENDENCE HIGH SCHOOL - THEATRE BOOSTER CLUB; INVESTMENT RELATED: NO; ADDRESS: 10555 INDEPENDENCE PKWY FRISCO, TX 75035; NATURE OF BUSINESS: NON PROFIT; START DATE: 10/2022; POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: MAINTAIN FINANCIAL INFORMATION AND CHECKBOOK ; 5. NAME OF OTHER BUSINESS: ANTHOLOGY DESIGNS LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: PRODUCT SALES; START DATE: 10/2022; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: DESIGN PRODUCTS TO SELL ON ETSY AND OTHER CHANNELS; 6. NAME OF OTHER BUSINESS: COLLIN COLLEGE FOUNDATION; INVESTMENT RELATED: NO; ADDRESS: 3452 SPUR 399 SUITE 429 MCKINNEY, TX 75069; NATURE OF BUSINESS: NON PROFIT; START DATE: 10/2022; POSITION/TITLE/RELATIONSHIP: INVESTMENT COMMITTEE MEMBER; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: REVIEW PERFORMANCE AND PROVIDE OVERSIGHT ON OUTSIDE MONEY MANAGER PERFORMANCE;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-08-12
  • S66 Uniform Combined State Law Examination
    1999-08-12
Other Names
  • Tasha Hess
  • Natasha Cher Hess

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