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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

55 E Main St, Gouverneur, NY 13642 • 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
Mccollum Financial Group Llc Gouverneur NY 09/2002 Present
Cetera Wealth Services, Llc El Segundo CA 09/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 09/2002 → Present
    Mccollum Financial Group Llc
    Gouverneur, NY
  • 09/2013 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Other Businesses

1.INDEPENDENT INSURANCE AGENT LIFE/ACCIDENT/HEALTH, LONG-TERM CARE, BEGAN 07/2003, 1HR/WKDY ONLY 2.OWNER-MCCOLLUM FINANCIAL GROUP, LLC, BEGAN 09/2002, 1HR/WKDY ONLY; 3. NAME OF OTHER BUSINESS: STEWART W. MCCOLLUM; INVESTMENT RELATED: NO; ADDRESS: 55 EAST MAIN STREET GOUVERNEUR NY 13642; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 1/2021; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: RENTAL PROPERTY FOR RENTAL INCOME;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-09-10
  • S66 Uniform Combined State Law Examination
    1999-09-10

View on SEC IAPD

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