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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_RES | 2021-08-05 |
| FL | RA | APPROVED | 2020-12-14 |
Branch Locations
3903 Northdale Boulevard Suite 270E, Tampa, FL 33624 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Gilman & Ciocia Inc. | Tampa | FL | 09/1978 | 12/2020 |
| National Securities Corporation | Tampa | FL | 11/2013 | 12/2020 |
| Cetera Financial Specialists Llc | Schaumburg | IL | 12/2020 | Present |
| Cetera Investment Advisers Llc | Schaumrbug | IL | 12/2020 | Present |
| Gilman & Ciocia Inc. | Tampa | FL | 01/1980 | 12/2020 |
1)POA FOR IMMEDIATE FAMILY MEMBER; NON-INVESTMENT RELATED 2) NAME OF OTHER BUSINESS: GENERATIONS TAX & WEALTH MANAGEMENT ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: CPA & WEALTH MANAGEMENT FIRM ; START DATE: 12/2020 ; POSITION/TITLE/RELATIONSHIP: OWNER / CPA / FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: INVESTMENTS, ACCOUNTING & BOOKKEEPING ; 3) NAME OF OTHER BUSINESS: UNIVERSAL FINANCIAL CONSULTANTS ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FIXED LIFE INSURANCE ; START DATE: 05/2021 ; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT ; APX NUMBER OF HOURS PER WEEK: 5 ; APX NUMBER OF HOURS DURING TRADING HOURS: 5 ; BRIEF DESCRIPTION OF DUTIES: FIXED LIFE INSURANCE SALES ; 4) NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: YES, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: TRUSTEE SERVICES, START DATE:12/2020, TRUSTEE, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: TRUSTEE AND FINANCIAL PROFESSIONAL ON CLIENT TRUSTS; 5) NAME OF OTHER BUSINESS: LIFE SETTLEMENT BUSINESS INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: LIFE SETTLEMENT START DATE: 3/27/2026 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE SETTLEMENTS THROUGH WELCOME FUNDS, INC.& ASHAR GROUP
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-11-19 |
| S63 | Uniform Securities Agent State Law Examination | 1987-12-15 |
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