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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
NY RA APPROVED 2023-06-29
  • NY RA
    APPROVED
    Since 2023-06-29

Branch Locations

1895 Walt Whitman Rd Ste 6, Melville, NY 11747 • 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
North Ridge Securities Corp. Melville NY 02/1998 02/2019
Cetera Wealth Services, Llc El Segundo CA 01/2019 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 02/1998 → 02/2019
    North Ridge Securities Corp.
    Melville, NY
  • 01/2019 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 02/2019 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, ANNUITIES AND LONG TERM CARE 2. NAME OF OTHER BUSINESS: S.J. GRINSPAN & CO., INC. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INSURANCE SALES START DATE: 2001 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 3-5 APX NUMBER OF HOURS DURING TRADING HOURS: 3-5 BRIEF DESCRIPTION OF DUTIES: OWNER / INSURANCE SALES 3. NAME OF OTHER BUSINESS: NORTH RIDGE WEALTH PLANNING LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 02/2019 POSITION/TITLE/RELATIONSHIP: ADVISOR APX NUMBER OF HOURS PER WEEK: 20-30 APX NUMBER OF HOURS DURING TRADING HOURS: 20-30 BRIEF DESCRIPTION OF DUTIES: ADVISOR / OFFER FINANCIAL SERVICES

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-12-28
S63 Uniform Securities Agent State Law Examination 1989-08-01
  • S65 Uniform Investment Adviser Law Examination
    2009-12-28
  • S63 Uniform Securities Agent State Law Examination
    1989-08-01
Designations
Other Names
  • Sandra Jean Beckerman

View on SEC IAPD

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