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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
GA RA APPROVED 2024-03-21
TX RA APPROVED 2024-03-21
  • GA RA
    APPROVED
    Since 2024-03-21
  • TX RA
    APPROVED
    Since 2024-03-21

Branch Locations

12600 Deerfield Parkway Suite 100, Alpharetta, GA 30004 • United States

Ball Ground, GA • 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
Financial Assets, Inc. Alpharetta GA 08/1997 Present
Cetera Advisors Llc El Segundo CA 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 08/1997 → Present
    Financial Assets, Inc.
    Alpharetta, GA
  • 01/2013 → Present
    Cetera Advisors Llc
    El Segundo, CA
  • 03/2024 → Present
    Schaumburg, IL
Other Businesses

(1) NAME OF OTHER BUSINESS: FINANCIAL ASSETS, INC.; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: EXPENSE MANAGEMENT; START DATE: 8/1997; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: RESPONSIBLE FOR DAY-TO-DAY OPERATIONS OF TAX ENTITY; (2) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 06/2020 APX NUMBER OF HOURS PER WEEK: 4 APX NUMBER OF HOURS DURING TRADING HOURS: 4 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, LONG TERM CARE & MEDICARE (3) LANDSCAPE DESIGN, START 2007, 555 BISHOP RD BALL GROUND GA 30107, DESIGNER, 5HR/MO

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-03-15
S63 Uniform Securities Agent State Law Examination 2000-09-22
  • S66 Uniform Combined State Law Examination
    2002-03-15
  • S63 Uniform Securities Agent State Law Examination
    2000-09-22
Designations

View on SEC IAPD

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