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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 2020-11-12
WA RA APPROVED 2020-11-12
  • TX RA
    APPROVED_RES
    Since 2020-11-12
  • WA RA
    APPROVED
    Since 2020-11-12

Branch Locations

620 West Main, Centralia, WA 98531 • 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
First Allied Securities, Inc. San Diego CA 07/2008 09/2022
First Allied Advisory Services, Inc. Chesterfield MO 07/2012 11/2020
Cetera Investment Advisers Llc Schaumburg IL 11/2020 Present
Cetera Advisors Llc Centralia WA 09/2022 Present
Northwest Planning & Investments, Llc Centralia WA 01/2025 Present
  • 07/2008 → 09/2022
    First Allied Securities, Inc.
    San Diego, CA
  • 07/2012 → 11/2020
    First Allied Advisory Services, Inc.
    Chesterfield, MO
  • 11/2020 → Present
    Schaumburg, IL
  • 09/2022 → Present
    Cetera Advisors Llc
    Centralia, WA
  • 01/2025 → Present
    Northwest Planning & Investments, Llc
    Centralia, WA
Previous Registrations
  • 2012-07-02 → 2020-11-12
    First Allied Advisory Services, Inc.
    Centralia, WA
  • 2010-06-01 → 2012-07-02
    First Allied Securities, Inc.
    Centralia, WA
    Portland, OR
  • 2008-01-01 → 2008-07-17
    Chehalis, WA
  • 2001-04-30 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Chehalis, WA
    Chehalis, WA
    St. Louis, MO
Other Businesses

1. LAWRENCE FAMILY FOUNDATION; SUCCESSOR TRUSTEE; FIDUCIARY POSITION; START DATE 07/05/2011 2. NAME OF OTHER BUSINESS: NORTHWEST PLANNING & INVESTMENTS, LLC, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 01/2025, POSITION/TITLE/RELATIONSHIP: PARTNER., APX NUMBER OF HOURS PER WEEK: 10, APX NUMBER OF HOURS DURING TRADING HOURS: 2, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 3. NAME OF OTHER BUSINESS: JOHN LAWRENCE; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX PREPARATION; START DATE: 7/2025 POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: TAX PREPARATION; 4. NAME OF OTHER BUSINESS: JD & DJ ENTERPRISE; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR TAX PURPOSES; START DATE: 7/2025; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: DBA FOR TAX PURPOSES;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-12-07
  • S66 Uniform Combined State Law Examination
    2000-12-07

View on SEC IAPD

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