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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
FL RA APPROVED 2024-02-13
  • FL RA
    APPROVED
    Since 2024-02-13

Branch Locations

412 Highpoint Drive Suite 111, Cocoa, FL 32926 • 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
Professional Benefits Group, Inc Melbourne FL 09/1993 Present
Cetera Advisors Llc Denver CO 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 01/2024 Present
  • 09/1993 → Present
    Professional Benefits Group, Inc
    Melbourne, FL
  • 01/2013 → Present
    Cetera Advisors Llc
    Denver, CO
  • 01/2024 → Present
    Schaumburg, IL
Previous Registrations
  • 2006-02-21 → 2007-07-19
    Legacy Advisory Services, Inc.
    Melbourne, FL
Other Businesses

1. OWNER OF SMALL TREE FARM/PLANT NURSERY. DBA DB TREES. 2. LIFE, HEALTH, TERM, LONG TERM CARE, DISABILITY & MEDICAL INSURANCE SALES TO INDIVIDUALS AND GROUPS. METROPOLITAN, AETNA, BD/BS OF FC, HEALTH FIRST, GUARDIAN, MUTUAL OF OMAHA ETC. FIXED ANNUITY SALES WITH ING & BANKERS ETC. DBA D BORNBERG & ASSOCIATES 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: 09/2023 APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 20; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, FIXED ANNUITIES, LONG-TERM CARE AND STRUCTURED ANNUITIES; 4. NAME OF OTHER BUSINESS: DAVID BORNBERG ; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION ; NATURE OF BUSINESS: WOODWORKING ; START DATE: 12/2021 ; POSITION/TITLE/RELATIONSHIP: OWNER ; APX NUMBER OF HOURS PER WEEK: LESS THAN 10 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 10 ; BRIEF DESCRIPTION OF DUTIES: MAKES CHARCUTERIE, CUTTING AND OTHER BOARDS, ALSO TURNED BOWLS ; 5. NAME OF OTHER BUSINESS: NOTARY PUBLIC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NOTARY PUBLIC; START DATE: 09/2018; POSITION/TITLE/RELATIONSHIP: NOTARY PUBLIC; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: NOTARIZING DOCUMENTS;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1998-01-27
  • S63 Uniform Securities Agent State Law Examination
    1998-01-27
Designations

View on SEC IAPD

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