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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2023-05-02 |
Branch Locations
277 Fairfield Road Suite 100, Fairfield, NJ 07004 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Beechwood Financial Services Limited Liability Company | Verona | NJ | 05/2015 | 12/2022 |
| Cetera Financial Specialists Llc | Schaumburg | IL | 01/2023 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 05/2023 | Present |
1) STEPHEN P GUNBY & ASSOC, NOT INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, CONTRACTOR, TAX PREPARATION, DATA ENTRY, 12H/WEEK, SINCE 02/2020. 2) NAME OF OTHER BUSINESS: VERONA CHAMBER OF COMMERCE; INVESTMENT RELATED: NO; ADDRESS: PO BOX 31 VERONA, NJ 07044; NATURE OF BUSINESS: NON PROFIT; START DATE: 01/2024 ; POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT; APX NUMBER OF HOURS PER WEEK: 0.5; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: RECRUIT AND MAINTAIN MEMBERSHIP AND STAGE EVENTS;
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2023-04-28 |
| S65 | Uniform Investment Adviser Law Examination | 2005-07-22 |
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