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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 | 2026-05-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Advisors Llc | Greenwood Village | CO | 04/2026 | Present |
| Cetera Financial Specialists Llc | Schaumburg | IL | 04/2026 | Present |
| Cetera Investment Services Llc | St Cloud | MN | 04/2026 | Present |
| Cetera Wealth Services, Llc | El Segundo | CA | 04/2026 | Present |
| Cetera Investment Advisers | Schaumburg | IL | 04/2026 | Present |
| Transamerica Financial Advisors, Inc | Cedar Rapids | IA | 03/2015 | 04/2026 |
| Wfgia | Cedar Rapids | IA | 03/2014 | Present |
| Panacea Limousine Inc | Richardson | TX | 10/1996 | 02/2022 |
| D. R. Schieferstein, Licensed Massage Therapist | Richardson | TX | 04/1995 | 01/2022 |
| Methodist Richardson Medical Center Foundation | Richardson | TX | 01/2015 | 03/2018 |
| Leadership Richardson Alumni Association | Richardson | TX | 08/2010 | Present |
| Richardson East Rotary Club | Richardson | TX | 07/2012 | Present |
| Methodist Richardson Medical Center Patient Family Advisory Coun | Richardson | TX | 05/2019 | 01/2022 |
| Challenge Air For Kids And Friends | Dallas | TX | 02/2022 | Present |
| Biolife Plasma Services | Dallas | TX | 08/2023 | Present |
| Richardson Real Heroes | Richardson | TX | 03/2025 | 04/2026 |
1. NAME OF OTHER BUSINESS: LEADERSHIP RICHARDSON ALUMNI ASSOCIATION INVESTMENT RELATED: NO ADDRESS: RICHARDSON, TX NATURE OF BUSINESS: ALUMNI ASSOCIATION START DATE: 08/2010 POSITION/TITLE/RELATIONSHIP: PAST PRESIDENT APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: PAST PRESIDENT DUTIES 2. NAME OF OTHER BUSINESS: RICHARDSON EAST ROTARY CLUB INVESTMENT RELATED: NO ADDRESS: RICHARDSON, TX NATURE OF BUSINESS: ROTARY START DATE: 07/2012 POSITION/TITLE/RELATIONSHIP: PAST PRESIDENT APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: PROVIDE PAST PRESIDENT SERVICES / DUTIES 3. NAME OF OTHER BUSINESS: CHALLENGE AIR FOR KIDS AND FRIENDS INVESTMENT RELATED: YNO ADDRESS: DALLAS TX NATURE OF BUSINESS: NON-PROFIT START DATE: 3/2014 POSITION/TITLE/RELATIONSHIP: PRESIDENT BOARD OF TRUSTEES APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: PREIDENTIAL DUTIES 4. NAME OF OTHER BUSINESS: BIOLIFE PLASMA SERVICES INVESTMENT RELATED: NO ADDRESS: 7989 BELT LINE ROAD SUITE 130, DALLAS TX 75248 NATURE OF BUSINESS: BLOOD AND PLASMA DONATION CENTER START DATE: 8/2023 POSITION/TITLE/RELATIONSHIP: DONOR APX NUMBER OF HOURS PER WEEK: 3 APX NUMBER OF HOURS DURING TRADING HOURS: 3 BRIEF DESCRIPTION OF DUTIES: DONATE PLASMA
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-02-23 |
| S63 | Uniform Securities Agent State Law Examination | 2015-06-18 |
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