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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 | 2020-10-28 |
| CT | RA | APPROVED | 2020-07-09 |
Branch Locations
127 Washington Ave 2Nd Fl West, North Haven, CT 06473 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Foresters Financial Services | North Haven | CT | 11/1986 | 06/2019 |
| Cetera Investment Services Llc | St. Cloud | MN | 06/2019 | Present |
| Cetera Investment Advisers Llc | North Haven | CT | 07/2020 | Present |
1) NEW VIEW WEALTH MANAGEMENT LLC, DBA FOR CETERA BUSINESS, CONTINUITY, AND SUCCESSION PURPOSES, 59% OWNER, 4/HRS/WK 2) JOHN LAGGIS, NOTARY PUBLIC, 100% OWNER, 0.025/HRS/WK
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-07-07 |
| S63 | Uniform Securities Agent State Law Examination | 1990-03-22 |
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