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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
CT RA APPROVED 2019-06-19
  • CT RA
    APPROVED
    Since 2019-06-19

Branch Locations

101 East River Drive 4Th Floor, East Hartford, CT 06108 • 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
Foresters Financial East Hartford CT 02/2012 06/2019
Historic Lectures And Living History Wilbraham MA 11/2015 Present
Cetera Investment Advisers Llc East Hartford CT 06/2019 Present
Cetera Investment Services Llc St. Cloud MN 06/2019 Present
  • 02/2012 → 06/2019
    Foresters Financial
    East Hartford, CT
  • 11/2015 → Present
    Historic Lectures And Living History
    Wilbraham, MA
  • 06/2019 → Present
    East Hartford, CT
  • 06/2019 → Present
    Cetera Investment Services Llc
    St. Cloud, MN
Previous Registrations
  • 2013-08-20 → 2019-06-24
    Foresters Advisory Services, Llc
    New York, NY
Other Businesses

1) MAJ GEN NATHANIEL GREENE HOMESTEAD TRUSTEE-OVERSEES THE OPERATIONS OF THE HOMESTEAD 2)HISTORICAL REINACTMENTS & LECTURES- PRESIDENT. 2) TRUSTEE OF JOHN HAMPDEN SOCIETY; SERVES AS COUNCIL AND DISCUSSES ACTIVITIES OF SOCIETY 3) BOARD OF DIRECTOR FOR LEXINGTON MINUTEMEN, VOTING ON UNIT POLICIES AND SCHEDULING, ONE MEETING EACH MONTH

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-08-13
S63 Uniform Securities Agent State Law Examination 1988-11-15
  • S66 Uniform Combined State Law Examination
    2013-08-13
  • S63 Uniform Securities Agent State Law Examination
    1988-11-15
Designations

View on SEC IAPD

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