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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 | 2025-05-12 |
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 |
|---|---|---|---|---|
| Lpl Financial, Llc | Dallas | TX | 05/2014 | 05/2025 |
| Cetera Wealth Services, Llc | El Segundo | CA | 05/2025 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 05/2025 | Present |
1. NAME OF OTHER BUSINESS: RETIREMENT WEALTH STRATEGIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 5/2014 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES BUSINESS; 2. NAME OF OTHER BUSINESS: LUXARDO INC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: THIS BUSINESS ENTITY (C CORP) WAS CREATED FOR THE TAX PURPOSES ONLY START DATE: 6/2023 POSITION/TITLE/RELATIONSHIP: PRESIDENT APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 8 BRIEF DESCRIPTION OF DUTIES: NOT INVESTMENT RELATED AND IS A BUSINESS ENTITY FOR TAX PURPOSES ONLY;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-09-07 |
| S65 | Uniform Investment Adviser Law Examination | 1996-03-08 |
| S63 | Uniform Securities Agent State Law Examination | 1988-07-07 |
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