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6200 Rockside Road, Cleveland, OH 44131 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2014-06-11 |
Branch Locations
1266 E Main St. Suite 700R, Stamford, CT 06902 • United States
6200 Rockside Road, Cleveland, OH 44131 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Wealth Services, Llc | El Segundo | CA | 09/2013 | Present |
| Vantage Financial Group, Inc. | Stamford | CT | 05/2014 | Present |
(1) FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, FIXED INSURANCE, START 10/2011, 13HRS/WK (10 TRADING HOURS), INSURANCE AGENT - SELLS LIFE, ACCIDENT, HEALTH, DISABILITY, AND LONG-TERM CARE; (2) AMERICAN FINANCIAL GROUP, INVESTMENT RELATED, 1205 WESTLAKES DRIVE BERWYN, PA 19312, DBA NAME FOR FIXED INSURANCE, START 10/2011, 13HRS/WK (10 TRADING HOURS), INSURANCE AGENT; (3) NAME OF OTHER BUSINESS: VANTAGE FINANCIAL GROUP, INC. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADVISORY BUSINESS POSITION/TITLE/RELATIONSHIP: ADVISORY REPRESENTATIVE START DATE: 05/2014 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: ASSET MANAGEMENT (4) NAME OF OTHER BUSINESS: VILLA DEL LAGO; INVESTMENT RELATED: NO; ADDRESS: 1617 N FLAGLER DRIVE APT 11B WEST PALM BEACH FL 33407; NATURE OF BUSINESS: CONDO ASSOCIATION; START DATE: 1/2021; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: SERVE ON BOARD, RUN MEETINGS; (5) NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: NO ADDRESS: 1617 N. FLAGLER DRIVE, WEST PALM BEACH, FL 33407 ; NATURE OF BUSINESS: RENTAL PROPERTY ; START DATE: 02/2021 ; POSITION/TITLE/RELATIONSHIP: OWNER ; APX NUMBER OF HOURS PER WEEK: VARIES ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES ; BRIEF DESCRIPTION OF DUTIES: RENTING AN APARTMENT ;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-08 |
| S63 | Uniform Securities Agent State Law Examination | 1987-05-27 |
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