Best Investors Account Sign in
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 2024-06-20
TX RA APPROVED_RES 2024-06-20
  • NY RA
    APPROVED
    Since 2024-06-20
  • TX RA
    APPROVED_RES
    Since 2024-06-20

Branch Locations

110 West Bay Plaza, Plattsburgh, NY 12901 • United States

Disclosures

3 disclosure categories 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Cadaret, Grant & Co., Inc. Plattsburgh NY 05/2006 06/2024
Financial Services Plattsburgh NY 01/1995 Present
Cetera Wealth Services, Llc El Segundo CA 06/2024 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2024 Present
  • 05/2006 → 06/2024
    Cadaret, Grant & Co., Inc.
    Plattsburgh, NY
  • 01/1995 → Present
    Financial Services
    Plattsburgh, NY
  • 06/2024 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2024 → Present
    Schaumburg, IL
Previous Registrations
  • 2019-06-11 → 2024-06-24
    Cadaret, Grant & Co., Inc.
    Syracuse, NY
    Plattsburgh, NY
    Wantage, NJ
    Syracuse, NY
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: 11/1989 APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS FIXED INSURANCE PRODUCTS 2. NAME OF OTHER BUSINESS: CHAMPLAIN TECHNOLOGY GROUP INVESTMENT RELATED: NO ADDRESS: 11118 US -9 CHAMPLAIN NY 12919 NATURE OF BUSINESS: TELEPHONE / INTERNET COMPANY START DATE: 01/1995 POSITION/TITLE/RELATIONSHIP: BOARD OF DIRECTOR APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: BOARD OF DIRECTOR 3. NAME OF OTHER BUSINESS: FINANCIAL SERVICES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 01/1995 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-11-29
S63 Uniform Securities Agent State Law Examination 1989-11-07
  • S65 Uniform Investment Adviser Law Examination
    2021-11-29
  • S63 Uniform Securities Agent State Law Examination
    1989-11-07
Other Names
  • Paul F Seymour

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Plattsburgh, NY

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor