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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
TX RA APPROVED_RES 2025-03-28
CA RA APPROVED 2023-06-29
  • TX RA
    APPROVED_RES
    Since 2025-03-28
  • CA RA
    APPROVED
    Since 2023-06-29

Branch Locations

101 Parkshore Dr Ste 100, Folsom, CA 95630 • United States

El Dorado Hills, CA • United States

Disclosures

2 disclosure categories 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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Cetera Wealth Services, Llc El Segundo CA 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Previous Registrations
  • 2005-12-07 → 2008-08-13
    Pension Planners Securities, Inc.
    Sacramento, CA
    Sacramento, CA
  • 2003-09-16 → 2005-12-02
    Orangevale, CA
  • 2003-07-01 → 2003-09-19
    Roseville, CA
  • 1999-07-23 → 2003-07-01
    Prudential Equity Group, Llc
    Roseville, CA
Other Businesses

1. FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, FIXED INSURANCE, START 2007, 2HRS/WK (TRADING HOURS), INSURANCE AGENT - SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG-TERM CARE; 2. RAMEY FINANCIAL SERVICES, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, DBA NAME FOR SECURITIES AND INSURANCE SERVICES, START 2007, 40HRS/WK (32.5 TRADING HOURS), OWNER - SELLS LIFE, HEALTH, & DISABILITY INSURANCE, AND GENERAL SECURITIES; 3. NAME OF OTHER BUSINESS: BRIDLEWOOD CANYON HOA, INVESTMENT RELATED: NO, ADDRESS: 12009 FOUNDATION PLACE STE. 310, GOLD RIVER, CA 95670, NATURE OF 05/2025, POSITION/TITLE/RELATIONSHIP: BOARD MEMBER, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 0, BRIEF DESCRIPTION OF DUTIES: GENERAL BOARD MEMBER FOR THE ASSOCIATION.;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-05-16
S63 Uniform Securities Agent State Law Examination 1988-11-04
  • S65 Uniform Investment Adviser Law Examination
    2002-05-16
  • S63 Uniform Securities Agent State Law Examination
    1988-11-04

View on SEC IAPD

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