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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
TX RA APPROVED_RES 2014-11-13
IL RA APPROVED 2003-08-19
  • TX RA
    APPROVED_RES
    Since 2014-11-13
  • IL RA
    APPROVED
    Since 2003-08-19

Branch Locations

Springfield, IL • 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
Pehlman & Dold Springfield IN 08/1979 12/2020
Cetera Financial Specialists Llc Schaumburg IL 06/2000 Present
Cetera Investment Advisers Llc Schaumburg IN 08/2003 Present
Jtc Family Enterprises Inc Springfield IL 05/2017 Present
Phjtsk Enterprises Inc Springfield IL 01/2025 Present
  • 08/1979 → 12/2020
    Pehlman & Dold
    Springfield, IN
  • 06/2000 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 08/2003 → Present
    Schaumburg, IN
  • 05/2017 → Present
    Jtc Family Enterprises Inc
    Springfield, IL
  • 01/2025 → Present
    Phjtsk Enterprises Inc
    Springfield, IL
Other Businesses

1) NAME OF OTHER BUSINESS: JTC FAMILY ENTERPRISES INC; INVESTMENT RELATED: NO; ADDRESS: 991 CRAVENS ROAD, SPRINGFIELD, IL 62712; NATURE OF BUSINESS: CPA / TAX / BUSINESS CONSULTING; START DATE: 05/2017; POSITION/TITLE/RELATIONSHIP: OWNER / CPA; APX NUMBER OF HOURS PER WEEK: 10-15; APX NUMBER OF HOURS DURING TRADING HOURS: 10-15; BRIEF DESCRIPTION OF DUTIES: TAX RETURN PREPARATION, BUSINESS CONSULTING, FINANCIAL REPORTING AND BOOKKEEPING SERVICES; 2)NAME OF OTHER BUSINESS: ROUND PRAIRIE COOP ; INVESTMENT RELATED: NO ADDRESS: 100 N AMOS. SPRINGFIELD, IL 62705 ; NATURE OF BUSINESS: WATER SALES COOP ; START DATE:05/2012 ; POSITION/TITLE/RELATIONSHIP: TREASURER ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; BRIEF DESCRIPTION OF DUTIES: OVERSIGHT RESPONSIBILITIES FOR WATER SYSTEM; 3) NAME OF OTHER BUSINESS: PHJTSK ENTERPRISES INC INVESTMENT RELATED: NO, ADDRESS: ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: TAX AND ACCOUNTING, START DATE: 01/2025, POSITION/TITLE/RELATIONSHIP: CEO/OWNER, APX NUMBER OF HOURS PER WEEK: 10, APX NUMBER OF HOURS DURING TRADING HOURS: 10, BRIEF DESCRIPTION OF DUTIES: TAX PREPARATION AND CONSULTING SERVICES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-07-28
S63 Uniform Securities Agent State Law Examination 2000-08-21
  • S65 Uniform Investment Adviser Law Examination
    2003-07-28
  • S63 Uniform Securities Agent State Law Examination
    2000-08-21

View on SEC IAPD

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