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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
MD RA APPROVED 2023-08-10
  • MD RA
    APPROVED
    Since 2023-08-10

Branch Locations

9710 Monroe St, Cockeysville, MD 21030 • United States

Bel Air, MD • United States

Disclosures

1 disclosure category 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 No
Employment History
OrganizationCityStateFromTo
Suntrust Investment Services, Inc Atlanta GA 12/2013 12/2018
Suntrust Advisory Services Atlanta GA 08/2016 12/2018
Securian Financial Services Inc St Paul MN 12/2018 08/2023
Minnesota Life Insurance Co St Paul MN 12/2018 08/2023
Securian Capital Of The Chesepeake Towson MD 12/2018 Present
Cetera Wealth Services, Llc Towson MD 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
Home Depot Bel Air MD 04/2022 Present
  • 12/2013 → 12/2018
    Suntrust Investment Services, Inc
    Atlanta, GA
  • 08/2016 → 12/2018
    Suntrust Advisory Services
    Atlanta, GA
  • 12/2018 → 08/2023
    Securian Financial Services Inc
    St Paul, MN
  • 12/2018 → 08/2023
    Minnesota Life Insurance Co
    St Paul, MN
  • 12/2018 → Present
    Securian Capital Of The Chesepeake
    Towson, MD
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Towson, MD
  • 08/2023 → Present
    Schaumburg, IL
  • 04/2022 → Present
    Home Depot
    Bel Air, MD
Previous Registrations
  • 2018-12-27 → 2023-08-10
    Securian Financial Services, Inc.
    Towson, MD
    St. Paul, MN
  • 2016-08-18 → 2018-12-21
    Baltimore, MD
    Baltimore, MD
    Baltimore, MD
    Baltimore, MD
    Towson, MD
    Baltimore, MD
    Parkville, MD
    Timonium, MD
    Bel Air, MD
    Baltimore, MD
  • 2013-12-09 → 2016-12-31
    Truist Investment Services, Inc.
    Baltimore, MD
    Baltimore, MD
    Towson, MD
    Parkville, MD
    Baltimore, MD
    Timonium, MD
    Baltimore, MD
    Baltimore, MD
    Baltimore, MD
    Bel Air, MD
    Baltimore, MD
  • 2010-09-28 → 2013-12-09
    Cetera Investment Services Llc
    Forest Hill, MD
    Exton, PA
    Bel Air, MD
Other Businesses

1. MARY KAY POSITION: Independent Contractor NATURE: Sales INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 12/27/2018 ADDRESS: , BelAir MD , United States DESCRIPTION: Independent Contractor 2. NOTARY PUBLIC POSITION: Independent Contractor NATURE: Notary Public INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2004 ADDRESS: , BelAir MD , United States DESCRIPTION: Independent Contractor 3. NAME OF OTHER BUSINESS: HOME DEPOT, INVESTMENT RELATED: NO, ADDRESS: 655 MARKETPLACE DR, BEL AIR, MD 21014, NATURE OF BUSINESS: RETAIL HARDWARE WAREHOUSE, START DATE: 04/2022, POSITION/TITLE/RELATIONSHIP: ELECTRICAL SALES ASSOCIATE, APX NUMBER OF HOURS PER WEEK: 20, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: CUSTOMER SERVICE, CLEAN AND ORGANIZE SHELVES, DOWN STOCK, AND ASSIST WITH OTHER DEPARTMENTS; 4. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 1/1989; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 5. NAME OF OTHER BUSINESS: KINNECT ADVISORS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 08/2023; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32,5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-09-27
S63 Uniform Securities Agent State Law Examination 1998-02-03
  • S66 Uniform Combined State Law Examination
    2010-09-27
  • S63 Uniform Securities Agent State Law Examination
    1998-02-03
Other Names
  • Diane Fitta

View on SEC IAPD

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