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475 Springfield Ave. Suite #1, Summit, NJ 07901 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-08-08 |
Branch Locations
4509 Creedmoor Rd Suite 201, Raleigh, NC 27612 • United States
475 Springfield Ave. Suite #1, Summit, NJ 07901 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Advisor Networks Llc | El Segundo | CA | 02/2002 | 07/2023 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | 07/2023 |
| Simplicity Wealth | Raleigh | NC | 08/2023 | Present |
| Diversified Retirement And Wealth | Raleigh | NC | 08/2023 | Present |
1. Diversified Planning LTD, Not investment related, 4509 Creedmoor Rd, Suite 201, Raleigh, NC 27612, Fixed insurance, start date 01/01/1999, insurance agent , approximate number of hours/month you devote to the other business/ the number of hours you devote to the other business during securities trading hours >50hrs/wk (32.5 trading hours), Description of duties, insurance agent, social security analysis, sells life, health, disability, annuities, long-term care, and vision/dental/critical illness. 2. Elizabeth Coble Donner, Not investment related, 4509 Creedmoor Rd, Suite 201, Raleigh, NC 27612, Fixed insurance, start date 01/01/1999, licensed independent insurance agent , approximate number of hours/month you devote to the other business/ the number of hours you devote to the other business during securities trading hours >50hrs/wk (32.5 trading hours), Description of duties, insurance agent, social security analysis, sells life, health, disability, annuities, long-term care, and vision/dental/critical illness.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-08-15 |
| S63 | Uniform Securities Agent State Law Examination | 1999-08-10 |
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