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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
WA RA APPROVED 2024-03-21
  • WA RA
    APPROVED
    Since 2024-03-21

Branch Locations

11930 Slater Ave Ne Ste 100, Kirkland, WA 98034 • 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
Green Financial Group Kirkland WA 11/1986 Present
The Lincoln National Life Insurance Company Portland OR 08/1993 Present
Pacific West Securities Inc Renton WA 06/2000 Present
Cetera Advisors Llc Denver CO 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 11/1986 → Present
    Green Financial Group
    Kirkland, WA
  • 08/1993 → Present
    The Lincoln National Life Insurance Company
    Portland, OR
  • 06/2000 → Present
    Pacific West Securities Inc
    Renton, WA
  • 01/2013 → Present
    Cetera Advisors Llc
    Denver, CO
  • 03/2024 → Present
    Schaumburg, IL
Previous Registrations
  • 2000-07-05 → 2012-02-28
    Pacific West Financial Consultants Inc
    Kirkland, WA
Other Businesses

1. GREEN FINANCIAL, DBA FOR FIXED INSURANCE AND SECURITIES BUSINESS. 2. P & F PROPERTIES AND KIRKLAND LIFESTYLE, LLC, START 01/01/86, PROPERTY MANAGEMENT, OWNER, 40HR/WK, $220,000. 3. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 10/2024, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT , BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY AND FIXED ANNUITIES ; 4. NAME OF OTHER BUSINESS: HEFFERMAN INSURANCE BROKERS , INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: INSURANCE SALES, START DATE: 10/2024, POSITION/TITLE/RELATIONSHIP: AGENT/SVP, APX NUMBER OF HOURS PER WEEK: 20 APX NUMBER OF HOURS DURING TRADING HOURS: 20, BRIEF DESCRIPTION OF DUTIES: SALES OF GROUP BENEFITS, INDIVIDUAL HEALTH AND MEDICARE PRODUCTS;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-12-02
S63 Uniform Securities Agent State Law Examination 1986-02-24
  • S65 Uniform Investment Adviser Law Examination
    1993-12-02
  • S63 Uniform Securities Agent State Law Examination
    1986-02-24

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