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

Branch Locations

800 Hingham Street Suite 200 North, Rockland, MA 02370 • 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
Investors Capital Corp. Quincy MA 08/1995 10/2016
Harbor Insurance Group, Llc Rockland MA 05/2006 Present
Cetera Advisors Llc Denver CO 10/2016 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
American Legion Post 83 Lincoln, Nh Lincoln NH 11/2025 03/2026
Fraternal Order Of Eagles Erie 841 Rockland MA 03/2026 Present
  • 08/1995 → 10/2016
    Investors Capital Corp.
    Quincy, MA
  • 05/2006 → Present
    Harbor Insurance Group, Llc
    Rockland, MA
  • 10/2016 → Present
    Cetera Advisors Llc
    Denver, CO
  • 03/2024 → Present
    Schaumburg, IL
  • 11/2025 → 03/2026
    American Legion Post 83 Lincoln, Nh
    Lincoln, NH
  • 03/2026 → Present
    Fraternal Order Of Eagles Erie 841
    Rockland, MA
Previous Registrations
  • 2012-06-11 → 2016-10-03
    Investors Capital Corp.
    Rockland, MA
    Lynnfield, MA
    Lynnfield, MA
    Marblehead, MA
Other Businesses

1) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERD LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 9/2016, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF TRADING HOURS PER WEEK: 32.5, POSITION/TITLE/RELATIONSHIP: AGENT, BRIEF DESCRIPTION OF DUTIES: LIFE, HEALTH, DISABILITY, ANNUITIES, & LONG TERM CARE. 2) NAME OF OTHER BUSINESS: HARBOR INSURANCE GROUP, LLC, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERD LOCATION, NATURE OF BUSINESS: DAB FOR FINANCIAL SERVICES & INSURANCE, START DATE: 5/20005, APX NUMBER OF HOURS PER WEEK: 23, APX NUMBER OF TRADING HOURS PER WEEK: 23, POSITION/TITLE/RELATIONSHIP: PRESIDENT, BRIEF DESCRIPTION OF DUTIES: SALES, SERVICE AND CONSERVATION OF INSURANCE PLANS FOR IND AND SMALL BUSINESSES. 3) NAME OF OTHER BUSINESS: FRATERNAL ORDER OF EAGLES ERIE 841; INVESTMENT RELATED: NO; ADDRESS: 24 PARK STREET ROCKLAND, MA 02370 NATURE OF BUSINESS: FUNCTION HALL AND PRIVATE CLUB; START DATE: 03/2026; POSITION/TITLE/RELATIONSHIP: BARTENDER / SERVER ; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: HELP WITH HALL EVENTS AND BARTEND;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1990-09-20
  • S63 Uniform Securities Agent State Law Examination
    1990-09-20
Designations

View on SEC IAPD

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