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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2025-09-05
  • MA RA
    APPROVED
    Since 2025-09-05

Branch Locations

435 Columbia Street, Fall River, MA 02721 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
The Tax Consultants Inc Fall River MA 11/1982 Present
1St Global Capital Corp. Fall River MA 07/1994 10/2019
1St Global Advisors, Inc. Fall River MA 10/1998 10/2019
Avantax Insurance Services, Inc. Fall River MA 06/2005 09/2025
Avantax Investment Services, Inc. Fall River MA 10/2019 09/2025
Avantax Advisory Services Fall River MA 10/2019 09/2025
Avantax Insurance Agency And/Or Avantax Insurance Services Fall River MA 06/2005 09/2025
Cetera Wealth Services, Llc Fall River MA 09/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 09/2025 Present
  • 11/1982 → Present
    The Tax Consultants Inc
    Fall River, MA
  • 07/1994 → 10/2019
    1St Global Capital Corp.
    Fall River, MA
  • 10/1998 → 10/2019
    1St Global Advisors, Inc.
    Fall River, MA
  • 06/2005 → 09/2025
    Avantax Insurance Services, Inc.
    Fall River, MA
  • 10/2019 → 09/2025
    Avantax Investment Services, Inc.
    Fall River, MA
  • 10/2019 → 09/2025
    Avantax Advisory Services
    Fall River, MA
  • 06/2005 → 09/2025
    Avantax Insurance Agency And/Or Avantax Insurance Services
    Fall River, MA
  • 09/2025 → Present
    Cetera Wealth Services, Llc
    Fall River, MA
  • 09/2025 → Present
    Schaumburg, IL
Previous Registrations
  • 2019-10-25 → 2025-09-05
    Avantax Advisory Services
    Fall River, MA
  • 1998-11-12 → 2019-10-25
    1St Global Advisors Inc
    Fall River, MA
Other Businesses

1) RENTAL PROPERTY POSITION: OWNER NATURE: REAL ESTATE RENTAL INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2013 ADDRESS: Fall River MA 02720, United States DESCRIPTION: LANDLORD 2) THE TAX CONSULTANTS INC; OTHER - SELF EMPLOYED TAX PREPARER/ACC; NIR; 11/01/1982; 3) THE ROBERT F. STOICO / FIRSTFED CHARITABLE FOUNDATION POSITION: Director NATURE: The Robert F. Stoico / FIRSTFED Charitable Foundation supports non-profit organizations primarily in Southeastern Massachusetts and Rhode Island. Our mission is to strengthen the community by enhancing opportunities for Education, Job Development, Affordable Housing, Accessibility to Healthcare and the Arts. Through offering financial support, we impact local individuals, families and non-profits for the ultimate benefit of our community as a whole INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2025 ADDRESS: 435 Columbia Street, Fall River MA 02721, United States DESCRIPTION: Local non-profit organizations submit requests for funding. The board consists of four members. Requests are reviewed and a decision is made whether or not to make contributions to said organizations. The organization does have investment accounts that are used to fund the requests. Periodically the board reviews the managed investment accounts. I have no direct involvement in choosing the investments. I have no direct contact with the outside account managers.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-09-01
S63 Uniform Securities Agent State Law Examination 1988-11-21
  • S65 Uniform Investment Adviser Law Examination
    1998-09-01
  • S63 Uniform Securities Agent State Law Examination
    1988-11-21
Designations

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