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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2016-12-09 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stephens Inc | Memphis | TN | 07/2004 | 12/2016 |
| Cetera Investment Services Llc | St. Cloud | MN | 12/2016 | Present |
| Regions Bank | Memphis | TN | 12/2016 | Present |
| Cetera Investment Advisers Llc | Memphis | TN | 12/2016 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1987-05-28 |
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