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

Branch Locations

11900 Olympic Blvd Ste 780, Los Angeles, CA 90064 • 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
Cetera Wealth Services, Llc El Segundo CA 06/2019 Present
Goldstein Financial - Brentwood Financial Advisors Los Angeles CA 06/2019 Present
Maximum Yarnage Upland CA 05/2019 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Oppenheimer & Co. Inc. Los Angeles CA 06/2000 06/2019
  • 06/2019 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2019 → Present
    Goldstein Financial - Brentwood Financial Advisors
    Los Angeles, CA
  • 05/2019 → Present
    Maximum Yarnage
    Upland, CA
  • 06/2023 → Present
    Schaumburg, IL
  • 06/2000 → 06/2019
    Los Angeles, CA
Previous Registrations
Other Businesses

1. NAME OF OTHER BUSINESS: MAXIMUM YARNAGE INVESTMENT RELATED: NO ADDRESS: 620 W VERNON DRIVE, UPLAND, CA 91786 NATURE OF BUSINESS: HAND DYED YARN, KNITTING/CROCHET, TUTORIALS, ARTS START DATE: 5/19 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 1-3 APX NUMBER OF HOURS DURING TRADING HOURS: 1-3 BRIEF DESCRIPTION OF DUTIES: OWNER 2. NAME OF OTHER BUSINESS: GOLDSTEIN FINANCIAL - BRENTWOOD FINANCIAL ADVISORS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL INDUSTRY START DATE: 6/19 POSITION/TITLE/RELATIONSHIP: SR. CLIENT SERVICE ASSOCIATE APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: OPERATIONAL DUTIES SUCH AS CLIENT CUSTOMER SERVICE AND ADMINISTRATIVE ASSISTANT DUTIES, SALES ASSISTANT TO LARRY GOLDSTEIN AND BROOKE GOLDSTEIN

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-06-21
  • S66 Uniform Combined State Law Examination
    2008-06-21
Other Names
  • Michelle S. Sule
  • Michelle S Sule

View on SEC IAPD

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